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 full 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.
Where the Tribunal finds a charge not proved, it may order IPS
to pay compensation to the member.
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.
Adjournments
Where a member makes an application for adjournment of a hearing
before the DIsciplinary Tribunal, the request will be considered in
accordance with the adjournment
policy.