Facing Disciplinary Proceedings

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "Facing Disciplinary Proceedings"

Transcription

1 Facing Disciplinary Proceedings LawCare Helplines For Solicitors, Law Students, Trainee Solicitors, Costs Lawyers, Paralegals and Chartered Legal Executives in England and Wales: For Solicitors, Trainee Solicitors and Law Students in Scotland, Northern Ireland and the Isle of Man: For Barristers, Barristers Clerks and Judges in England and Wales; Judges and Barristers in Northern Irelandl and Judges, Advocates and Devils in Scotland: For Solicitors, Trainee Solicitors and Law Students in the Republic of Ireland: For Barristers and Pupils in the Republic of Ireland: LawCare Ltd. Company Registration No Registered Office: 50 Broadway, London SW1H 0BL Registered as a Charity in England and Wales no and in Scotland no. SC Please note that information in this pack applies to solicitors in England and Wales only.

2 Introduction In May 2008, addressing a joint meeting of LawCare, the Solicitors Assistance Scheme and the Solicitors Benevolent Association, Paul Marsh, Vice President of the Law Society of England and Wales, said that Stress is the enemy of good business and the best friend of mistakes The legal profession is a stressful one, and most solicitors will make a mistake or be the subject of a complaint at some point during their career. In some cases this will be a major issue, leading to a large claim on the firm s insurance and disciplinary proceedings against the firm or the individual solicitor by the Solicitors Regulation Authority. For the solicitor concerned this can be an extremely distressing and worrying time. Our experience at LawCare has been that most solicitors are very hard-working, competent, thorough, knowledgeable and take great professional pride in serving the very best interests of their clients. Failure in any of these areas hits them hard. One solicitor described it in these words: The first reaction is shock and horror that you have done something wrong or made a mistake that has career implications. You start to lose sleep and can't think of anything else and you lose your concentration and ability to work. Then you face the decision of whether to own up and, if so, who to tell: your colleagues, Partners, the clients involved or the Law Society. Panic soon follows, together with the realisation of the possible implications: having to tell family and friends - the loss of their respect - telling colleagues and their disappointment in being let down, telling clients who have trusted you and believed in your ability. The next feeling is shame, which never leaves you. You carry it like a large notice pinned to your back. How could you have allowed yourself to get into this position? The disciplinary process can be extremely lengthy, which simply adds to the pain of the experinece, but however minor or serious your mistake, there are organisations which can help you, and things which can be done to help you cope and to come out of the experience a better lawyer. Minor Mistakes The reaction you are facing will depend largely on the mistake you have made. Most solicitors make mistakes, but minor errors are usually dealt with within the firm. Trainees are at particular risk of making mistakes due to their inexperience, but the firm is responsible for providing adequate training and supervision, and ensuring that they are not given matters to deal with for which they are not yet trained or qualified. Trainee errors should be dealt with in a positive way and taken as an indication that more training is needed, not necessarily as a matter for disciplinary action. The most common negligence claims are for missed time limits these amount to around 30% of all professional negligence claims against solicitors. Other major causes are delay, drafting error, poor communication - basically almost anything except getting the law wrong. 90% of claims are related to administrative failures, only 10% relate to lack of legal knowledge. This may be due to the fact that lawyers study and train in the practice of law,

3 not business management, administration and the art of clear and unambiguous communication. Whilst probably every solicitor will face a claim at some point during their professional career, that doesn't necessarily mean that they WILL have been negligent. The fact that a client brings a claim doesn't automatically mean that the solicitor has done anything wrong. Most negligence claims don't lead to disciplinary action. The fact that a solicitor has made an error- missed a time limit, drafted something incorrectly, failed to do something - means that their client has a civil right of action against them, and could be awarded damages. It doesn't always mean they have done something that would involve a sanction by the SRA or referral to the SDT. The exceptions to that are errors such as, for example, breaching an undertaking - this is both a civil wrong and a disciplinary offence, and could result in a claim against insurers as well as a referral to the SDT. Disciplinary Action within the Firm If you are an employee and believe you have made a mistake, the sooner you report it, the better. Lapse of time usually only means that the hole you have begun to dig just gets deeper and deeper. Errors are most easily corrected as soon as they are realised to have occurred. In particular, failure to deal with the mistake expeditiously could affect the firm s insurance policy and lead the Insurer to refuse to cover the claim on the ground of nondisclosure of a material fact.. So, if necessary, enlist the moral support of a colleague and admit your mistake to a superior within the firm frankly and honestly. It may help if you state that you are prepared to do whatever is necessary to put it right, including undergoing additional training if appropriate. The experience may be valuable in preventing bigger mistakes later on, and in helping you identify and deal with a weak area in your work. If the firm takes the decision to take disciplinary action against you, then check your contract and look into the firm s own disciplinary policy for guidance on what you should do. Consider whether there were any mitigating circumstances and make careful notes of exactly what happened, when and why. SAS (the Solicitors Assistance Scheme) exists to give up to an hour of free initial legal advice to a solicitor. (See Organisations which can help for details.) Your employer may decided that an oral warning, plus retraining, is sufficient to deal with the issue. You should establish whether this is part of a formal disciplinary procedure or not and whether or not it is intended to be recorded on your personnel file as a formal warning. If it is not a formal warning, then it cannot be used against you in the future. If your firm takes a particularly dim view of the situation and you are suspended, then ensure that the period of your suspension is clearly defined from the start, and use the time you are away from work constructively primarily to prepare your case and help your employer make a full investigation. You might also attend training courses, or read around your field of work. It might be wise to bring your CV up to date and research the legal jobs market just in case. You should also provide as much support as possible to those covering your work in your absence and be available to advise on files when required.

4 The Legal Complaints Service The LCS deals with complaints about poor service or fees, but they advise the complainants initially to speak to their solicitor directly, or the complaints handling partner at the firm. If the LCS goes on to investigate a complaint they have the power to- insist that the matter is put right at the firm s expense require the firm to reduce a bill require the firm to pay compensation refer the matter to the SRA if it involves misconduct, or if they have had repeated complaints about the same solicitor or firm. If you are the subject of a complaint to the LCS, ensure that you are completely aware of the exact nature of the complaint and the issues around it. Establish whether the complaint is simply about inadequate professional service, or whether misconduct or dishonesty is alleged. Inadequate professional service can include matters such as persistent failure to return phone calls or reply to correspondence, or unreasonable delays in processing a matter. The LCS plan to publish complaints at an early stage at some point in the future, although the Law Society are opposed to this. The Solicitors Regulation Authority The primary role of the Solicitors Regulation Authority is to ensure compliance with the practice rules and codes of conduct, and to discipline solicitors who fail to comply. The SRA also issues practising certificates, without which no solicitor may practice. If the Authority believes that a solicitor has failed to act in accordance with the rules it has the power to- give reprimands give warnings or advice refer cases of serious or repeated misconduct to the SDT fine 5,000 for each offence impose sanctions on the solicitor issue a practising certificate which is subject to conditions for example, that the solicitor is not entitled to practice alone, or must lodge half-yearly accounts with the Authority. suspend or withhold a practising certificate when- The SDT has suspended a solicitor A solicitor has been convicted of a serious offence A solicitor has been declared bankrupt (although the solicitor may apply for an immediate termination of that suspension). All judgements for debt against solicitors are reported to the SRA by the court In extreme circumstances, particularly where dishonesty is suspected, the SRA may use its statutory powers to initiate an intervention.

5 Interventions Mr Justice Neuberger described the purpose of an intervention as allowing the SRA to: protect the public interest against the activities of dishonest or incompetent solicitors. Mr Justice Carnwath stated: The intervention procedure has been recognised as being draconian in some respects but necessary for the protection of the public. An intervention is not a takeover or a disciplinary outcome. It is governed by statutory procedures and is a regulatory step taken only when the SRA believes that it is necessary. For the solicitor concerned, and the staff at the firm, it is extremely traumatic, damaging and expensive. The costs of the intervention, which are very high, may be sought from the solicitor. It is not an option to seek to fall back on when you are unable to dispose of your practice through the usual methods. If you believe that a situation has arisen where you may be intervened in, or you need to close your practice due to ill health, retirement or other reasons, then you may wish to contact the Solicitors Assistance Scheme who will be able to assist you in doing so with the least possible difficulty. (See Organisations which can help for details.) Usually there will be up to eight days written notice that the SRA intends to intervene. However, this is not always the case, especially when dishonesty is suspected and advance warning would enable evidence to be destroyed. The notice gives the solicitor the opportunity to respond and in some cases this response can prevent the intervention taking place, so it is important that the letter is not ignored and that immediate specialist advice is sought. On receipt of the notice, the solicitor has three choices: 1. Allow the intervention to go ahead as planned. This is very expensive and generally ends the solicitor s legal career. 2. Dispose of the practice. This is preferable because it is easier on both the solicitor and the clients. However there may be problems in the prospective successor practice getting acceptable indemnity insurance cover, and often with only four or five days to dispose of the practice, this may be extremely difficult. The SRA will need to approve the disposal. 3. Contest the intervention. The solicitor has the right to appeal, but this must be done immediately, since the notice may have arrived only two or three days before the planned intervention. Expert advice should be sought, and how this is to be done will depend on the circumstances. On the day of the intervention, several things will happen. The firm s bank accounts will be frozen (this may have occurred beforehand) The intervention officer will meet with the intervened solicitor to explain what is happening The agent (usually a local firm acting for the SRA in this regard) will seize all client papers, files, wills, deeds and other items to return them to the clients. Client money will also be returned to the clients The agent will also seize all bookkeeping and accounts materials and systems.

6 The agent will identify any urgent matters completions, court hearings and will ensure that the clients are directed to alternative advice. The staff will be dismissed and the offices closed. In most cases the solicitor is referred to the Solicitors Disciplinary Tribunal. The solicitor being intervened is liable for all the costs of the intervention, which can be as high as 50,000, as well as any money discovered to be missing from client or office accounts. His or her practising certificate will be suspended. The SRA will prosecute more serious breaches of the rules. The Solicitors Disciplinary Tribunal The Tribunal is an independent body set up by statute. If the solicitor has repeatedly behaved unprofessionally, seriously compromised the interests of a client, taken advantage of a vulnerable person, discriminated against a person or group or otherwise brought disrepute to the profession then it is likely that the SRA will consider it in the public interest to refer the matter to the SDT. In 2007 the judgements of the tribunal were as follows: Struck off 32% Suspended 16% Fined 40% Reprimanded 9% Cleared or dismissed 3% A QC who represents solicitors before the Tribunal said of his clients Almost without exception they are honest men and women caught up in situations that worry them. In certain situations the SRA will decide not to refer a matter to the SDT when it would normally do so. These include significant mental or physical ill health, and old age, where the solicitor is no longer practising. If you are the subject of an SDT hearing, it is important that you have expert advice and representation as soon as possible. Ignoring the issue will not make it go away it will just make it worse. Organisations which can help The Solicitors Assistance Scheme The SAS is an independent organisation which provides legal advice for solicitors. The first hour s consultation is free, but ongoing support thereafter has to be agreed with the individual SAS panel member. In many cases this is at a reduced rate, and occasionally free The SAS can be particularly helpful in preventing a threatened intervention, and have members who are expert at winding up problem practices. If you are facing intervention it is recommended that you contact an SAS panel member immediately.

7 SAS panel members have a wide variety of specialisms, and many are experienced in helping with client complaints, disciplinary matters, tribunals and other such issues. For help call to be referred to an SAS member near you. There is also a website at If you cannot make contact direct with the SAS, please speak to us and we will try and help you to do so. The Ethics Guidance Team The SRA s Ethics Guidance helpline is available on Its function is to give guidance on the interpretation of the Rules governing Professional Conduct. You can call anonymously. The SRA s website can also be helpful and includes a step-by-step guide on how to properly close down a practice. The Practice Advice Service This helpline is provided by the Law Society to help solicitors and their staff with issues of legal practice, policy and procedure. There is a team of experienced solicitors who can also assist with questions about the anti-money laundering regulations. Lines are open from 0900 to 1700, Monday to Friday. Lawyerline A Law Society advice line for solicitors needing help with general complaint handling The Solicitors Benevolent Association The SBA provides financial support for solicitors and their dependents in reduced circumstances, but will not help with the costs of defence in a disciplinary matter, or provide living costs for a solicitor who has been struck off or suspended for dishonesty or misconduct. However, every case is different and will be considered on its own merits, and help may still be available to the family, so if there are financial issues it is always worth contacting the SBA. The number to call is and the website is at LawCare LawCare offers support via its freephone helpline ( ) on health and emotional issues such as stress, depression and addiction to alcohol or drugs. Because these are often factors in disciplinary situations, LawCare has offered support in the past to many lawyers facing this particular problem, and has occasionally advised the tribunal when health matters have been a factor in disciplinary proceedings. LawCare volunteers can also be a great help. As fellow lawyers who have often been through something similar, they act as befrienders, being available to talk whenever required and offer empathy and strength. Where necessary, LawCare can also refer you for professional counselling or to other specialised agencies.

Information for registrants. What happens if a concern is raised about me?

Information for registrants. What happens if a concern is raised about me? Information for registrants What happens if a concern is raised about me? Contents About this brochure 1 What is fitness to practise? 1 What can I expect from you? 3 How are fitness to practise concerns

More information

COMPLAINTS ABOUT SOLICITORS. How the Law Society of Ireland can help you. Law Society of Ireland Complaints About Solicitors 1

COMPLAINTS ABOUT SOLICITORS. How the Law Society of Ireland can help you. Law Society of Ireland Complaints About Solicitors 1 COMPLAINTS ABOUT SOLICITORS How the Law Society of Ireland can help you Law Society of Ireland Complaints About Solicitors 1 The Law Society of Ireland (the Society) is the regulatory body for solicitors.

More information

ERRANT CONDUCT AND POOR PERFORMANCE BY EXTERNAL ADVOCATES CPS GUIDANCE TO CHAIRS OF JOINT ADVOCATE SELECTION COMMITTEES

ERRANT CONDUCT AND POOR PERFORMANCE BY EXTERNAL ADVOCATES CPS GUIDANCE TO CHAIRS OF JOINT ADVOCATE SELECTION COMMITTEES ERRANT CONDUCT AND POOR PERFORMANCE BY EXTERNAL ADVOCATES CPS GUIDANCE TO CHAIRS OF JOINT ADVOCATE SELECTION COMMITTEES 1. BACKGROUND 1.1. The CPS is publicly accountable for the selection and performance

More information

Guidance on health and character

Guidance on health and character Guidance on health and character Who is this document for?... 2 About the structure of this document... 2 Section 1: Introduction... 4 About us (the HPC)... 4 How we are run... 5 About registration...

More information

Legal Action / Claiming Compensation in Scotland

Legal Action / Claiming Compensation in Scotland Legal Action / Claiming Compensation in Scotland This help sheet explains your legal rights if you have been injured as a result of medical treatment and the steps involved in seeking compensation through

More information

Making a complaint in the independent healthcare sector. A guide for patients

Making a complaint in the independent healthcare sector. A guide for patients Contents 1. Introduction pages 3 5 2. Local Resolution Stage One pages 6 8 3. Complaints Review Stage Two page 9 4. Independent External Adjudication Stage Three pages 10 11 2 The Patients Association

More information

JOINT AGREEMENT ON GUIDANCE ON DISCIPLINARY PROCEDURES IN FURTHER EDUCATION COLLEGES

JOINT AGREEMENT ON GUIDANCE ON DISCIPLINARY PROCEDURES IN FURTHER EDUCATION COLLEGES JOINT AGREEMENT ON GUIDANCE ON DISCIPLINARY PROCEDURES IN FURTHER EDUCATION COLLEGES BETWEEN THE ASSOCIATION OF COLLEGES (AoC) AND ASSOCIATION FOR COLLEGE MANAGEMENT (ACM) ASSOCIATION OF TEACHERS & LECTURERS

More information

MOTOR LEGAL EXPENSES POLICY WORDING TERMS OF COVER

MOTOR LEGAL EXPENSES POLICY WORDING TERMS OF COVER Motor Legal Expenses provides:- 24/7 Legal Advice Insurance for legal costs for certain types of disputes HELPLINE SERVICES Legal Helpline MOTOR LEGAL EXPENSES Use the 24 hour advisory service for telephone

More information

A guide for health professionals on how to report a doctor to the GMC

A guide for health professionals on how to report a doctor to the GMC A guide for health professionals on how to report a doctor to the GMC This booklet gives doctors, medical directors, clinical governance managers and other health professionals advice on what action they

More information

Motor Legal Expenses Insurance

Motor Legal Expenses Insurance Motor Legal Expenses Insurance Motor Legal Expenses Insurance Policy Document Certificate of Insurance This insurance is underwritten by Inter Partner Assistance SA and managed on their behalf by Arc Legal

More information

Architects Accreditation Council of Australia. Regulation of the Architect Profession within Australia An Overview

Architects Accreditation Council of Australia. Regulation of the Architect Profession within Australia An Overview Architects Accreditation Council of Australia Regulation of the Architect Profession within Australia An Overview February 2015 Table of Contents 1. Introduction... 3 2. Registration Requirements for Individuals...

More information

DISCIPLINARY PROCEDURE TEACHING STAFF

DISCIPLINARY PROCEDURE TEACHING STAFF policies updated/ Disc Proc Teach Staff 300512 1. INTRODUCTION DISCIPLINARY PROCEDURE TEACHING STAFF 1.1 Disciplinary rules and procedures are necessary for promoting orderly employment relations as well

More information

Applicant any person who is applying or has applied for registration as a Paralegal;

Applicant any person who is applying or has applied for registration as a Paralegal; PRACTISING CERTI Paralegal Practising Certificate Rules Citation, Commencement and Interpretation These Rules may be cited as the Paralegal Practising Certificate Rules 2015 and come into force on 20th

More information

NETHERAVON ALL SAINTS CE PRIMARY SCHOOL

NETHERAVON ALL SAINTS CE PRIMARY SCHOOL NETHERAVON ALL SAINTS CE PRIMARY SCHOOL DISCIPLINARY PROCEDURE FOR ACADEMY TEACHING AND SUPPORT STAFF Adopted by Netheravon All Saints Academy Trust on 23/9/15 Signed (Chair of Governors): 1 Index Section

More information

STAFF DISCIPLINE, CONDUCT AND GRIEVANCE PROCEDURE

STAFF DISCIPLINE, CONDUCT AND GRIEVANCE PROCEDURE STAFF DISCIPLINE, CONDUCT AND GRIEVANCE PROCEDURE 1. Introduction Disciplinary issues arise when problems of conduct or capability are identified by the employer and management seeks to address them through

More information

Health Committee information

Health Committee information Health Committee information This leaflet is for nurses and midwives who have been referred to our Health Committee because an allegation has been made against them and, after initial investigation, we

More information

DISCIPLINE RUTLAND. limited by guarantee. Registered in England and Wales.

DISCIPLINE RUTLAND. limited by guarantee. Registered in England and Wales. DISCIPLINE POLICY FOR STAFF OCTOBER 2014 HARINGTON SCHOOL RUTLAND office@haringtonschool.com www. haringtonschool.com Harington School. Registered Company Number 9031174. Company limited by guarantee.

More information

GUIDANCE FOR EMPLOYED BARRISTERS. Part 1. General

GUIDANCE FOR EMPLOYED BARRISTERS. Part 1. General GUIDANCE FOR EMPLOYED BARRISTERS Part 1. General 1.1 This guidance has been issued by the Professional Standards Committee, the Professional Conduct and Complaints Committee and the Employed Barristers

More information

Disciplinary Policy & Procedure. Version 2.0

Disciplinary Policy & Procedure. Version 2.0 Disciplinary Policy & Procedure Version 2.0 Date of Last Update: February 2015 Version Control Note: minor updates increase version number by 0.1, major updates increase version number by 1.0. Version

More information

DISCIPLINARY PROCEDURE

DISCIPLINARY PROCEDURE DISCIPLINARY PROCEDURE Author: Julie Newnham Revised : August 2013 Review Date: August 2014 Students First DISCIPLINARY PROCEDURES 1 Scope and purpose 1.1 This procedure applies to all employees other

More information

Complaints. against nurses and midwives. Record keeping. Guidance for nurses and midwives. Helping you support patients and the public

Complaints. against nurses and midwives. Record keeping. Guidance for nurses and midwives. Helping you support patients and the public Complaints Record keeping against nurses and midwives Guidance for nurses and midwives Helping you support patients and the public 1 15105_Record Keeping_A5_proof 3.indd 1 09/03/2010 09:47 We are the nursing

More information

Know. Your. Rights. Understanding. grievances. www.worksmart.org.uk. and disciplinaries

Know. Your. Rights. Understanding. grievances. www.worksmart.org.uk. and disciplinaries Understanding Know Your Rights www.worksmart.org.uk grievances and disciplinaries Introduction Whatever job you do, you can run into problems at work. Sometimes these can be sorted out quickly by informal

More information

Guidance on professional conduct. For nursing and midwifery students

Guidance on professional conduct. For nursing and midwifery students Guidance on professional conduct For nursing and midwifery students 1 We are the nursing and midwifery regulator for England, Wales, Scotland, Northern Ireland and the Islands. We exist to safeguard the

More information

HUMAN RESOURCES POLICIES AND PROCEDURES DISCIPLINARY. Date of Policy 1993 Date policy to be reviewed 09/2014

HUMAN RESOURCES POLICIES AND PROCEDURES DISCIPLINARY. Date of Policy 1993 Date policy to be reviewed 09/2014 HUMAN RESOURCES POLICIES AND PROCEDURES DISCIPLINARY Date of Policy 1993 Date policy to be reviewed 09/2014 Policy written by SFC/HR Risk Register Ref (s) HR7 Impact Assessed EDG Date Impact assessed 10/2012

More information

Z:\Committee\2015-16\PERSONNEL PANEL\2015-07-14\POLICIES\Discipline Procdure.doc

Z:\Committee\2015-16\PERSONNEL PANEL\2015-07-14\POLICIES\Discipline Procdure.doc DISCIPLINARY PROCEDURE 1. PURPOSE AND SCOPE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct whilst at work or representing the council.

More information

Discipline. Managing People. VOIP 2000 - HR Direct Fife Council April 2015 1 DI02. P o l i c y a n d P r o c e d u r e. 1 Purpose and Scope

Discipline. Managing People. VOIP 2000 - HR Direct Fife Council April 2015 1 DI02. P o l i c y a n d P r o c e d u r e. 1 Purpose and Scope Discipline P o l i c y a n d P r o c e d u r e 1 Purpose and Scope This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct. This procedure applies to

More information

How we consider information that applicants or registrants declare. Guidance on health and character

How we consider information that applicants or registrants declare. Guidance on health and character How we consider information that applicants or registrants declare Guidance on health and character Contents Who is this document for? 2 About the structure of this document 2 Section 1 Introduction 3

More information

Congratulations... ...and thank you for buying a Motoring First policy.

Congratulations... ...and thank you for buying a Motoring First policy. 2 Congratulations......and thank you for buying a Motoring First policy. This document explains exactly what is covered by Licence Shield, how to make a claim, important contact details and much more.

More information

COMPLAINTS ABOUT SOLICITORS

COMPLAINTS ABOUT SOLICITORS CMLAINTS ABUT SLICITRS? HW THE law SCIETY CAN HEL YU 1 Law Society of Ireland The Law Society of Ireland (the Society) is the regulatory body for solicitors. The Society can help with a complaint about

More information

Improving the Performance of Doctors. Complaints Investigations and Remediation

Improving the Performance of Doctors. Complaints Investigations and Remediation Improving the Performance of Doctors Complaints Investigations and Remediation SHARING INFORMATION WITH PATIENTS AND CARERS HAPIA GOOD PRACTICE GUIDE 2014 HEALTHWATCH AND PUBLIC INVOLVEMENT ASSOCIATION

More information

The publication of fitness to practise data by secondary care location in the UK: guide to the data

The publication of fitness to practise data by secondary care location in the UK: guide to the data Appendix B The publication of fitness to practise data by secondary care location in the UK: guide to the data For terminology used in the data and in the memo please see Annex A. Our Role 1. As the regulator

More information

Management liability - Employment practices liability Policy wording

Management liability - Employment practices liability Policy wording Special definitions for this section Benefits Claim Defence costs The General terms and conditions and the following terms and conditions all apply to this section. Any compensation awarded to an employee

More information

AD1 Notes 2015-2016 AD1 v17 18/12/2015 1

AD1 Notes 2015-2016 AD1 v17 18/12/2015 1 AD1 v17 18/12/2015 1 AD1 Notes 2015-2016 AD1 v17 18/12/2015 2 Section numbers below correspond to sections in the application form: Page Introduction 4 About form AD1 4 How to use the form 4 How to contact

More information

Those seeking admission as solicitors under the Admission Regulations, fulfilling the duties under section 3 of the Solicitors Act 1974;

Those seeking admission as solicitors under the Admission Regulations, fulfilling the duties under section 3 of the Solicitors Act 1974; 1 [Authority: Made on the [DD day of MM YYYY] by the Solicitors Regulation Authority (SRA) Board under section 28 of the Solicitors Act 1974 with the approval of the Legal Services Board under sections

More information

THE SOLICITORS (SCOTLAND) ACT 1980 THE SCOTTISH SOLICITORS DISCIPLINE TRIBUNAL (PROCEDURE RULES 2008)

THE SOLICITORS (SCOTLAND) ACT 1980 THE SCOTTISH SOLICITORS DISCIPLINE TRIBUNAL (PROCEDURE RULES 2008) 1 THE SOLICITORS (SCOTLAND) ACT 1980 THE SCOTTISH SOLICITORS DISCIPLINE TRIBUNAL (PROCEDURE RULES 2008) F I N D I N G S in Complaint by THE COUNCIL OF THE LAW SOCIETY of SCOTLAND, 26 Drumsheugh Gardens,

More information

The Code. Professional standards of practice and behaviour for nurses and midwives

The Code. Professional standards of practice and behaviour for nurses and midwives The Code Professional standards of practice and behaviour for nurses and midwives Introduction The Code contains the professional standards that registered nurses and midwives must uphold. UK nurses and

More information

MODEL DISCIPLINARY PROCEDURE FOR SMALL ORGANISATIONS

MODEL DISCIPLINARY PROCEDURE FOR SMALL ORGANISATIONS MODEL DISCIPLINARY PROCEDURE FOR SMALL ORGANISATIONS Employers should comply with the Acas Code of Practice for disciplinary and grievance procedures which can be downloaded from www.acas.org.uk/dgcode2009.

More information

The Bar Tribunals and Adjudication Service Sentencing Guidance: Breaches of the Code of Conduct of the Bar of England and Wales

The Bar Tribunals and Adjudication Service Sentencing Guidance: Breaches of the Code of Conduct of the Bar of England and Wales The Bar Tribunals and Adjudication Service Sentencing Guidance: Breaches of the Code of Conduct of the Bar of England and Wales This document is intended to provide guidance and is not intended to inhibit

More information

3. MISCONDUCT and GROSS MISCONDUCT The following list provides examples of misconduct which will normally give rise to formal disciplinary action:

3. MISCONDUCT and GROSS MISCONDUCT The following list provides examples of misconduct which will normally give rise to formal disciplinary action: WISBOROUGH GREEN PARISH COUNCIL DISCIPLINARY PROCEDURE 1. PURPOSE AND SCOPE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct whilst

More information

South Ayrshire Council. Report by Head of HR and Organisational Development to Leadership Panel of 19 April 2011

South Ayrshire Council. Report by Head of HR and Organisational Development to Leadership Panel of 19 April 2011 South Ayrshire Council Agenda Item No. 3 (2) (k) Report by Head of HR and Organisational Development to Leadership Panel of 19 April 2011 Subject: Disciplinary Procedures 1. Purpose 1.1 The purpose of

More information

DISCIPLINARY POLICY AND PROCEDURE

DISCIPLINARY POLICY AND PROCEDURE DISCIPLINARY POLICY AND PROCEDURE Content Policy statement 1. Principles 2. Standards 3. Disciplinary procedure 4. Investigation

More information

Disciplinary procedure

Disciplinary procedure Disciplinary procedure At Dandelion Education we follow our legal obligations as an employer at all times including dealing with any disciplinary matter in a fair and consistent manner. We have a policy

More information

Surrey County Council Disciplinary Policy December 2009

Surrey County Council Disciplinary Policy December 2009 APPENDIX 2 Disciplinary Policy - v 0.8 1. Introduction People who choose to become Local Government Employees, as public servants must abide by the highest standards in respect of conduct and behaviour.

More information

DISCIPLINARY PROCEDURE

DISCIPLINARY PROCEDURE DISCIPLINARY PROCEDURE May 2012 1 Introduction The Disciplinary Procedure applies to all SESTRAN employees. Its main aims are to promote fairness, equity and order in the treatment of individuals and in

More information

PLUMBING INDUSTRY LICENSING SCHEME (SCOTLAND AND NORTHERN IRELAND) DUTIES OF A LICENSED BUSINESS

PLUMBING INDUSTRY LICENSING SCHEME (SCOTLAND AND NORTHERN IRELAND) DUTIES OF A LICENSED BUSINESS PLUMBING INDUSTRY LICENSING SCHEME (SCOTLAND AND NORTHERN IRELAND) DUTIES OF A LICENSED BUSINESS January 2010 INTRODUCTION This document has been prepared to provide Licensed Business with a guide to their

More information

Wotton-under-Edge Town Council

Wotton-under-Edge Town Council Wotton-under-Edge Town Council Disciplinary Procedure Adopted March 2015 1. PROCEDURE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct

More information

Staff Investigation Protocol

Staff Investigation Protocol Version: 3.0 Document author(s): Stuart Selkirk Approved by: Executive Partnership Forum Date approved: 17 July 2014 Review date: 30 September 2016 Document scope: Trust-wide Version History Log Use this

More information

Employment law solicitors

Employment law solicitors Employment law solicitors At Millbank solicitors we are dedicated to providing prompt and practical employment advice to both employers and employees. Our expert lawyers appreciate and understand the ever

More information

How to complain about a doctor

How to complain about a doctor How to complain about a doctor Scotland This booklet is for patients in Scotland. Our procedures are the same throughout the UK, but healthcare and support organisations do vary. We have therefore also

More information

SPECIALIST 24 HR CRIMINAL DEFENCE

SPECIALIST 24 HR CRIMINAL DEFENCE SPECIALIST 24 HR CRIMINAL DEFENCE What happens at the Police Station? Often the most important stage in any case is what happens in the police station. In most cases you will be under arrest and it may

More information

This procedure applies where formal disciplinary action is commenced on or after 11 December 2013

This procedure applies where formal disciplinary action is commenced on or after 11 December 2013 Appendix X Disciplinary Procedure This procedure applies where formal disciplinary action is commenced on or after 11 December 2013 1 Purpose 1.1 This procedure is designed to help and encourage all employees

More information

What to do if called to give evidence

What to do if called to give evidence What to do if called to give evidence An information guide for witnesses Contents Being a witness 2 Inquiry centre 2 Support and assistance 2 Before attending the inquiry How the case is prepared 3 What

More information

BISHOP GROSSETESTE UNIVERSITY. Document Administration

BISHOP GROSSETESTE UNIVERSITY. Document Administration BISHOP GROSSETESTE UNIVERSITY Document Administration Document Title: Document Category: Disciplinary Policy, Procedure and Guidance Policy, Procedure and Guidance Version Number: 2 Status: Reason for

More information

DISCIPLINARY, DISMISSAL AND GRIEVANCE PROCEDURES. Guidance for employers

DISCIPLINARY, DISMISSAL AND GRIEVANCE PROCEDURES. Guidance for employers DISCIPLINARY, DISMISSAL AND GRIEVANCE PROCEDURES Guidance for employers Contents Foreword...1 Chapter 1: Disciplinary and dismissal procedures...2 Communicating your disciplinary and grievance procedures...2

More information

BABCP. Standards of Conduct, Performance and Ethics. www.babcp.com. British Association for Behavioural & Cognitive Psychotherapies

BABCP. Standards of Conduct, Performance and Ethics. www.babcp.com. British Association for Behavioural & Cognitive Psychotherapies BABCP www.babcp.com Standards of Conduct, Performance and Ethics British Association for Behavioural & Cognitive Psychotherapies 2 YOUR DUTIES AS A MEMBER OF BABCP The standards of conduct, performance

More information

Business finances. Contents. Maintaining your cash flow

Business finances. Contents. Maintaining your cash flow This information is an extract from the booklet Self-employment and cancer. You may find the full booklet helpful. We can send you a free copy see page 6. Contents Maintaining your cash flow Reducing your

More information

How to complain about a doctor. England

How to complain about a doctor. England How to complain about a doctor England This booklet is for patients in England. Our procedures are the same throughout the UK, but healthcare and support organisations do vary. We have therefore also produced

More information

LNCT. circular 12. Code of Discipline for Teachers: Disciplinary and Appeals Procedure 3. PRINCIPLES 1. INTRODUCTION 2. AIMS

LNCT. circular 12. Code of Discipline for Teachers: Disciplinary and Appeals Procedure 3. PRINCIPLES 1. INTRODUCTION 2. AIMS LNCT Local Negotiating Committee for Teachers December 2014 circular 12 IMPLEMENTING A TEACHING PROFESSION FOR THE 21ST CENTURY Code of Discipline for Teachers: Disciplinary and Appeals Procedure 1. INTRODUCTION

More information

CROWTHORNE PARISH COUNCIL DISCIPLINARY PROCEDURE. Adopted by Council - 5 November 2013. Table of Contents

CROWTHORNE PARISH COUNCIL DISCIPLINARY PROCEDURE. Adopted by Council - 5 November 2013. Table of Contents CROWTHORNE PARISH COUNCIL DISCIPLINARY PROCEDURE Adopted by Council - 5 November 2013 Table of Contents 1 PURPOSE AND SCOPE:... 2 2 PRINCIPLES:... 2 3 THE PROCEDURE FOR MISCONDUCT AND GROSS MISCONDUCT:...

More information

Clinical Negligence. Investigating Your Claim

Clinical Negligence. Investigating Your Claim www.lees.co.uk Clinical Negligence Investigating Your Claim Lees Solicitors LLP 44/45 Hamilton Square Birkenhead Wirral CH41 5AR Tel: 0151 647 9381 Fax: 0151 649 0124 e-mail: newclaim@lees.co.uk 1 The

More information

NHS North Somerset Clinical Commissioning Group. HR Policies Managing Discipline

NHS North Somerset Clinical Commissioning Group. HR Policies Managing Discipline NHS North Somerset Clinical Commissioning Group HR Policies Managing Discipline Approved by: Quality and Assurance Group Ratification date: May 2013 Review date: May 2016 1 Contents 1 Policy Statement...

More information

MISSOURI S LAWYER DISCIPLINE SYSTEM

MISSOURI S LAWYER DISCIPLINE SYSTEM MISSOURI S LAWYER DISCIPLINE SYSTEM Discipline System Clients have a right to expect a high level of professional service from their lawyer. In Missouri, lawyers follow a code of ethics known as the Rules

More information

Your rights if you have been injured as a result of treatment

Your rights if you have been injured as a result of treatment Your rights if you have been injured as a result of treatment If you have had medical treatment which went wrong or caused you injury, you are entitled to full explanations and you may be able to get compensation

More information

Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 1 of 7. Trinity Academy Disciplinary Policy

Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 1 of 7. Trinity Academy Disciplinary Policy Page 1 of 7 Trinity Academy Disciplinary Policy Policy Statement The purpose of the Disciplinary Procedure is to give staff members every opportunity to improve standards of behaviour and conduct and to

More information

DISCIPLINARY BYE-LAWS

DISCIPLINARY BYE-LAWS PROPOSED NEW DISCIPLINARY BYE-LAWS: NOT IN FORCE The Institute of Chartered Accountants In Ireland Incorporated by Royal Charter 14 th May 1888 Operating as DISCIPLINARY BYE-LAWS Effective Date: [ ] NOT

More information

Date Amendments/Actions Next Compulsory Review Date

Date Amendments/Actions Next Compulsory Review Date CTC KINGSHURST ACADEMY STAFF DISCIPLINARY POLICY AND PROCEDURE POLICY REFERENCE: POL017S Policy History Policy Ref & Version Date Amendments/Actions Next Compulsory Review Date POL017S V1.0 1 st September

More information

Higher National Unit specification. General information for centres. Unit title: Legal and Ethical Issues. Unit code: F50D 35

Higher National Unit specification. General information for centres. Unit title: Legal and Ethical Issues. Unit code: F50D 35 Higher National Unit specification General information for centres Unit code: F50D 35 Unit purpose: This Unit is designed to provide candidates with an understanding of the sources, composition and the

More information

DISCIPLINARY POLICY & PROCEDURE FOR SCHOOL BASED STAFF

DISCIPLINARY POLICY & PROCEDURE FOR SCHOOL BASED STAFF DISCIPLINARY POLICY & PROCEDURE FOR SCHOOL BASED STAFF Based on Leeds City Council recommendations January 2012 1 CONTENTS 1. Introduction 2. Scope of the Procedure 3. Core Principles 4. Management of

More information

Staff Disciplinary and Dismissal Policy and Procedure January 2011

Staff Disciplinary and Dismissal Policy and Procedure January 2011 Staff Disciplinary and Dismissal Policy and Procedure January 2011 Staff Disciplinary and Dismissal Policy and Procedure Contents Section Page No. 1. Policy statement 2 2. Purpose and scope 2 Informal

More information

Legal Expenses Insurance

Legal Expenses Insurance Legal Expenses Express Services - Motor Legal Expenses Policy Summary Some important facts about your Express Services Motor Legal Expenses insurance policy are summarised below. This summary does not

More information

Greenhead College. Discipline and Grievance. (Senior Postholders) reviewed 02/15

Greenhead College. Discipline and Grievance. (Senior Postholders) reviewed 02/15 Greenhead College Discipline and Grievance (Senior Postholders) reviewed 02/15 1 GRIEVANCE PROCEDURE FOR SENIOR POSTHOLDERS: GUIDANCE 1. If a Senior Postholder has a grievance relating to her/his employment

More information

JIB NATIONAL WORKING RULES 19 AND 20

JIB NATIONAL WORKING RULES 19 AND 20 JIB NATIONAL WORKING RULES 19 AND 20 19. DISCIPLINARY AND DISMISSAL PROCEDURE 19.1 INTRODUCTION For the avoidance of doubt, the term operative includes apprentice for the purpose of this Rule The behaviours

More information

How to complain about a doctor

How to complain about a doctor How to complain about a doctor England This booklet is for patients in England. Our procedures are the same throughout the UK, but healthcare and support organisations do vary. We have therefore also produced

More information

LEGAL SCHEME REGULATIONS

LEGAL SCHEME REGULATIONS LEGAL SCHEME REGULATIONS These Regulations came into force on 1 July 2014. 1 Introduction 1.1 These Regulations govern the Union s legal Scheme. The Rules of the Union set out your other rights and entitlements.

More information

ATTENDANCE MANAGEMENT AND REHABILITATION POLICY. 1. Introduction

ATTENDANCE MANAGEMENT AND REHABILITATION POLICY. 1. Introduction 1. Introduction Throughout this Policy, the words Translink Company and/or the Group refer to all corporate entities under the ownership of the Northern Ireland Transport Holding Company (NITHC). This

More information

ORAL STATEMENT ON ACCESS TO JUSTICE REVIEW FINAL REPORT: 13 SEPTEMBER 2011

ORAL STATEMENT ON ACCESS TO JUSTICE REVIEW FINAL REPORT: 13 SEPTEMBER 2011 ORAL STATEMENT ON ACCESS TO JUSTICE REVIEW FINAL REPORT: 13 SEPTEMBER 2011 Members will have heard me speak previously, in this chamber and elsewhere, of the opportunities that the devolution of justice

More information

DISCIPLINARY POLICY AND PROCEDURES DISCIPLINARY POLICY AND PROCEDURE

DISCIPLINARY POLICY AND PROCEDURES DISCIPLINARY POLICY AND PROCEDURE DISCIPLINARY POLICY AND PROCEDURE Date: 5 May 2015 Approved: 3 June 2015 Review date: 22 April 2018 1 CONTENTS 1. INTRODUCTION 2. NOTES OF GUIDANCE Counselling General Principles Investigation Minor Matters

More information

Guide to Criminal procedure

Guide to Criminal procedure Guide to Criminal procedure This free guide gives a general idea to members of the public as to what you may expect to encounter if you or someone you know is charged with a criminal offence. The overriding

More information

GUIDANCE FOR SECONDARY COMPLAINERS. In respect of a compensation claim arising from a Finding of Professional Misconduct

GUIDANCE FOR SECONDARY COMPLAINERS. In respect of a compensation claim arising from a Finding of Professional Misconduct GUIDANCE FOR SECONDARY COMPLAINERS In respect of a compensation claim arising from a Finding of Professional Misconduct The Scottish Solicitors Discipline Tribunal has the power to award compensation where

More information

Broomley and Stocksfield Parish Council

Broomley and Stocksfield Parish Council 1. PURPOSE AND SCOPE DISCIPLINARY PROCEDURE This procedure is designed to help and encourage all Council employees to achieve and maintain high standards of conduct whilst at work or representing the Council.

More information

Your Van Insurance Motor Legal Protection Policy Booklet

Your Van Insurance Motor Legal Protection Policy Booklet Your Van Insurance Motor Legal Protection Policy Booklet Contents Motor Legal Protection Insurance...3 Motor Legal Expenses...3 Helpline Services...3 Motor Legal Expenses Policy Summary...4 Cancellation

More information

Criminal appeals. Page 1 of 19 Criminal appeals version 3.0 Published for Home Office staff on 08 July 2015

Criminal appeals. Page 1 of 19 Criminal appeals version 3.0 Published for Home Office staff on 08 July 2015 Page 1 of 19 Criminal appeals version 3.0 Published for Home Office staff on 08 July 2015 About this guidance An overview of appeals Appeals relating to immigration enforcement investigation cases The

More information

How does HMRC work out how much income tax I owe?

How does HMRC work out how much income tax I owe? Taxes are dealt with and collected by HM Revenue & Customs (HMRC). There are different types of tax, which include those listed below. Income tax. This is a tax you pay on income you receive. National

More information

Advice Note. An overview of civil proceedings in England. Introduction

Advice Note. An overview of civil proceedings in England. Introduction Advice Note An overview of civil proceedings in England Introduction There is no civil code in England; English civil law comprises of essentially legislation by Parliament and decisions by the courts.

More information

BARNTON PARISH COUNCIL (BPC)

BARNTON PARISH COUNCIL (BPC) Policy Title: Disciplinary & Grievance Policy Ref: BPC 008 Author: Philip Miskel Evoy & Lynn Gibbon Date: January 2013 Version 2 Review Date: January 2014 Introduction This policy is designed to ensure

More information

FITNESS TO PRACTICE STATEMENT

FITNESS TO PRACTICE STATEMENT FITNESS TO PRACTICE STATEMENT The following is the UCD PhD in Clinical Psychology Fitness to Practice Statement which takes effect from September 1 st, 2015. Fitness to Practice Definition: Fitness to

More information

CHILDREN AND YOUNG PEOPLE SERVICE ALCOHOL, DRUG OR OTHER SUBSTANCE MISUSE OR ABUSE POLICY

CHILDREN AND YOUNG PEOPLE SERVICE ALCOHOL, DRUG OR OTHER SUBSTANCE MISUSE OR ABUSE POLICY CHILDREN AND YOUNG PEOPLE SERVICE ALCOHOL, DRUG OR OTHER SUBSTANCE MISUSE OR ABUSE POLICY KirkleesEdnet/Management/HumanResources APRIL 2008 Prepared by: Human Resources Strategy Unit Revised: November

More information

AVOIDING AND RESOLVING DISCIPLINE AND GRIEVANCE ISSUES AT WORK. Simpler laws, better services

AVOIDING AND RESOLVING DISCIPLINE AND GRIEVANCE ISSUES AT WORK. Simpler laws, better services AVOIDING AND RESOLVING DISCIPLINE AND GRIEVANCE ISSUES AT WORK Simpler laws, better services 2 Introduction This leaflet has been jointly produced by the Department for Business, Enterprise and Regulatory

More information

Statutory duty of candour with criminal sanctions Briefing paper on existing accountability mechanisms

Statutory duty of candour with criminal sanctions Briefing paper on existing accountability mechanisms Statutory duty of candour with criminal sanctions Briefing paper on existing accountability mechanisms Background In calling for the culture of the NHS to become more open and honest, Robert Francis QC,

More information

Your duties as a registrant. Standards of conduct, performance and ethics

Your duties as a registrant. Standards of conduct, performance and ethics Your duties as a registrant Standards of conduct, performance and ethics Contents Foreword 1 Introduction 3 The standards of conduct, performance and ethics 8 Fitness to practise 15 Glossary 16 Foreword

More information

Defending An Employment Tribunal Claim

Defending An Employment Tribunal Claim Defending An Employment Tribunal Claim 1. Employment tribunals What you need to know to defend a claim Employment tribunals hear cases and make decisions on employment issues such as unfair dismissal,

More information

Inspiring Education, Achieving Our Dreams LANCASHIRE CHILDREN S SERVICES AUTHORITY

Inspiring Education, Achieving Our Dreams LANCASHIRE CHILDREN S SERVICES AUTHORITY Inspiring Education, Achieving Our Dreams LANCASHIRE CHILDREN S SERVICES AUTHORITY MANAGING ALCOHOL/DRUG ABUSE POLICY AND PROCEDURE FOR SCHOOL STAFF (REVISED JANUARY 2013) Policy Leader: Paul Slater Policy

More information

Business Insurance Business Legal Guard Policy Summary Commercial Claims 0345 125 8859

Business Insurance Business Legal Guard Policy Summary Commercial Claims 0345 125 8859 Business Insurance Business Legal Guard Policy Summary Commercial Claims 0345 125 8859 (Monday to Friday, 9am-5pm) This is a summary of the cover available under the Post Office Money Business Legal Guard

More information

Office of Lawyers Professional Responsibility

Office of Lawyers Professional Responsibility Office of Lawyers Professional Responsibility Complaints and Investigations Office of Lawyers Professional Responsibility 1500 Landmark Towers 345 St. Peter Street St. Paul, MN 55102-1218 (651) 296-3952

More information

LEGAL ADVICE AND ASSISTANCE POLICY AND GUIDANCE

LEGAL ADVICE AND ASSISTANCE POLICY AND GUIDANCE LEGAL ADVICE AND ASSISTANCE POLICY AND GUIDANCE Northern Ireland Commissioner for Children and Young People Equality House 7 9 Shaftesbury Square BELFAST BT2 7DP Telephone: 028 9031 1616 Website: www.niccy.org

More information

Local Disciplinary Policy

Local Disciplinary Policy DOCUMENT INFORMATION Origination/author: Judith Coslett, Head of Human Resources This document replaces: Local Disciplinary and Dismissal Procedure 05 Date/detail of consultation: Staff Forum and Unison

More information

Complaining about Private Healthcare

Complaining about Private Healthcare AvMA s Advice and Information Workers can advise you on clinical or medico- legal aspects of your case. Helpline Number: 0845 123 23 52 (Mon- Fri 10am-5pm). Further information sheets can also be downloaded

More information

INDIANA PARALEGAL ASSOCIATION CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY AND RULES FOR ENFORCEMENT

INDIANA PARALEGAL ASSOCIATION CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY AND RULES FOR ENFORCEMENT INDIANA PARALEGAL ASSOCIATION CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY AND RULES FOR ENFORCEMENT PREAMBLE The Indiana Paralegal Association ("IPA") is a professional organization comprised of individual

More information

Appendix 1: General regulatory questions

Appendix 1: General regulatory questions Appendix 1: General regulatory questions ACCA regulates its members and students with due regard for the principles of better regulation. Regulatory procedures are proportionate and transparent, with hearings

More information

7. MY RIGHTS IN DEALING WITH CRIMINAL LAW AND THE GARDAÍ

7. MY RIGHTS IN DEALING WITH CRIMINAL LAW AND THE GARDAÍ 7. MY RIGHTS IN DEALING WITH CRIMINAL LAW AND THE GARDAÍ 7.1 Victim of a crime What are my rights if I have been the victim of a crime? As a victim of crime, you have the right to report that crime to

More information