What we can do

 

Once the investigation of a conduct complaint is complete the case is referred to the Professional Conduct Panel.  The Panel will decide whether an allegation is proved. 

 

Powers of the Professional Conduct Panel

 

Where it finds an allegation proved, on the balance of probabilities, the Professional Conduct Panel may:

  • accept the member's response to the complaint and take no further action; or
  • request a member to give undertakings about their future conduct; or
  • impose conditions on a member in respect of their conduct or in regard to employment; or
  • reprimand a member; or
  • warn a member about future conduct. 

Conclusion of a case without referral to the Professional Conduct Panel

 

The Rules allow the office to conclude certain cases with the consent of two Panel members without referral to the Panel.  The cases that fall within this category are:

  • rejection of cases where there is no evidence that misconduct has taken place or no misconduct is disclosed;
  • rejection of cases that are outside the remit of IPS;
  • entering into a 'consent agreement' with a member who has accepted that misconduct has taken place and has agreed to a penalty suggested by IPS; and
  • referring serious cases straight to the Disciplinary Tribunal.  

Disciplinary Tribunal proceedings

 

In some instances the Professional Conduct Panel will refer a matter to the Disciplinary Tribunal.  Disciplinary Tribunal proceedings are formal and usually involve legal representation.  When a case is referred to the Tribunal, IPS brings charges against the ILEX member.  The charges are drafted against the Code of Conduct and, where relevant, may also refer to other rules and regulations that ILEX members are expected to comply with. Evidence is presented in the form of witness statements and exhibits. 

 

The hearing begins with IPS presenting its case and the member presenting their response.  Either party may call witnesses to provide verbal evidence.  This might include the complainant.  

 

If the Tribunal finds the charges proved, the hearing moves to consider penalty and costs.  The member has an opportunity to present references or other mitigation to the Tribunal.   

 

Orders available to the Disciplinary Tribunal

 

The Disciplinary Tribunal may make the following orders if it finds a charge or charges proved:

  • exclude a person from being a member of IPS for a fixed or indefinite period; or
  • impose conditions on a member in respect of their conduct or in regard to employment; or
  • reprimand a member or warn them about future conduct; or
  • take no further action; or
  • require a member to pay a fine; or
  • require them to pay costs to IPS.

Sanctions guidance

 

IPS has developed sanctions guidance for use by its disciplinary bodies and IPS Officers when exercising delegated functions.  The guidance provides decision makers with a basis for considering how to exercise their judgment and powers in any given case.  It is intended to promote proportionality, consistency and transparency in decision making.  However, it is guidance only and a disciplinary body or the Officer may depart from it when determining a sanction in accordance with the discretion conferred upon it under the Rules.  A copy of the guidance can be found here.

 

Publication

 

Disciplinary orders are published.  Publication takes place on the IPS website and in the Legal Executive Journal.  Orders may also be published in other publications, where appropriate.  In serious cases this might include publication local to the member for the purposes of notifying the public.