Disciplinary powers

 

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.  This section sets out the powers available under the disciplinary procedures.

 

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 allegation and take no further action; or
  • request a member to give undertakings as to 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 where 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.  Where 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.  The charges will be supported with witness statements and exhibits.
 
Members may seek legal advice and in some instances their employing firm might provide them with representation.  Members may serve evidence and statements in response to the charges.  All the documents will be collated into a single hearing bundle.
 
The hearing begins with IPS presenting its case and the member presenting their response. Either may call witnesses to provide verbal evidence.  This might include a complainant.  The member concludes the hearing with their closing speech.  The Tribunal will then retire to consider whether the charges have been proved.
 
If the Tribunal finds that charges are proved the hearing will move to consider penalty and costs.  The member will have 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:

  • to exclude a person from being a member of IPS for a fixed or indefinite period; or
  • to impose conditions on a member in respect of their conduct or in regard to employment; or
  • to reprimand a member or warn them about future conduct; or
  • to take no further action; or
  • to require a member to pay a fine; or
  • to 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.  Also fairness requires that a member appearing before a disciplinary body knows, prior to any decision being made, what powers and sanctions are available and, in the event that sanctions are to be imposed, the matters that the disciplinary body may take into account when coming to a decision.  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.