Portfolio Holder: Ian Chivers Chartered Legal Executive Board Member
Enforcement
Key Objective: IPS will ensure that: • Changes to IDAR are finalised in preparation for the implementation of new practice rights; • Updated interventions/practice management arrangements are in place to meet the new regulatory remit.
Complaints casework Our aim is to deal effectively with allegations that the conduct of a CILEx member falls below expected standards. The LSB agreed, in its regulatory standards self-assessment report in 2012, with our assessment that we have a good system of enforcement. This covers our complaints handling and disciplinary proceedings processes. In 2013 we continued to operate those processes effectively. We dealt with 14 complaints against CILEx members and brought 20 cases to the Disciplinary Tribunal. The annual report of the work of the panels is at Annex 2.
We record performance against key performance indicators that we have set for ourselves. In 2013 we met our performance indicators for conclusion of all cases referred to the Disciplinary Tribunal within 9 months.
in one case delay by a respondent affected the achievement of a similar performance indicator at the first tier panel stage.
New rules for new rights
As part of the development of our practice rights applications we updated the Code of Conduct, which sets the standards of conduct for our regulated community, and the Investigation, Disciplinary and Appeal Rules (IDAR) which set out our complaints handling and disciplinary procedures.
The new Code includes reference to new types of practitioner that IPS will be regulating and reference to entities IPS will be regulating.
The update to the IDAR was necessary to introduce processes for the investigation of misconduct allegations made against entities IPS will be regulating and to introduce disciplinary powers where an entity is found to have breached the Code of Conduct. It also includes new standards of conduct relating to the management of legal practices and the management of client money, along with proposals for the management of practices through an IPS appointed practice manager, where the firm is found to be unable to manage its own practice.
In addition we have prepared proposals to intervene into legal practices where it is necessary to protect consumers and the public. We are seeking an order through Parliament to enable us to carry out interventions.
Panellist appraisals and training
All panellists serving on the panels set up under the IDAR are subject to appraisal and training. By Autumn we had completed our round of three yearly appraisals and annual training. The appraisals identified that panellists perform well and meet the skills requirements expected of them.
User feedback We continue to send questionnaires to complainants who made complaints about CILEx members and to members against whom a complaint was made. The aim of the questionnaires is to seek feedback on the complaints handling process and our performance and to identify areas where we can improve. The annual report of the feedback received is at Annex 3.
We also commenced work in 2013 to update the Fitness to Practise Manual which explains the complaints handling and disciplinary procedures, which sets out our approach to sanctions and publication of disciplinary decisions and includes policies that support the Rules. This work is nearing completion.
Fines and costs
The work on fitness to practise procedures has led to us reviewing our approach to fines where a misconduct finding is made. We developed new bands of fines for entities and practitioners with practice rights. A consultation on our proposals is due to close in April 2014.
However,
We reviewed our approach to orders for costs where a finding of misconduct is made. Our aim is that the costs of the proceedings should fall on the person against whom a finding is made, subject to their ability to pay. We believe this burden should not fall on the membership generally.
14
Professional standards for specialist lawyers
Page 1 |
Page 2 |
Page 3 |
Page 4 |
Page 5 |
Page 6 |
Page 7 |
Page 8 |
Page 9 |
Page 10 |
Page 11 |
Page 12 |
Page 13 |
Page 14 |
Page 15 |
Page 16 |
Page 17 |
Page 18 |
Page 19 |
Page 20 |
Page 21 |
Page 22 |
Page 23 |
Page 24 |
Page 25 |
Page 26 |
Page 27 |
Page 28 |
Page 29 |
Page 30 |
Page 31 |
Page 32 |
Page 33 |
Page 34 |
Page 35 |
Page 36 |
Page 37 |
Page 38