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26. Do you consider that the process was: 2013


Proportionate Consistent


YES 3 (75%) NO 1 (25%) YES 3 (75%) NO 0


Transparent Fair Impartial Timely


N/A 1 (25%) YES 2 (50%) NO 1 (25%) N/A 1 (25%) YES 3 (75%) NO 1 (25%) YES 3 (75%) NO 1 (25%) YES 3 (75%) NO 1 (25%)


2012


3 (75%) 1 (25%) 3 (75%) 0


1 (25%) 4 (100%) 0


9


4 (100%) 0


4 (100%) 4 (100%) 0


2011


4 (100%) 0


4 (100%) 0


4 (100%) 0


4 (100%) 0


4 (100%) 0


3 (75%) 1 (25%)


Comments: 1. I would be surprised if a solicitor would be allowed to continue in practice had they acted as [the member] did.


2. No evidence as to what was seen by the panel 3. I do not consider it fair to prospective clients that [the member] should continue as a legal executive.


IPS comments/learning points:


The Panels are provided with a copy of all informations provided by complainants and members. At Tribunals evidence is presented formally and supported by witness statements. The PCP and DT are provided with the Fitness to Practice Procedures Manual, which contains guidance on sanction and decision making. This is guidance only and the Panel and Tribunal are experienced at reaching decisions. They are made of 2 lay non-lawyer members and 1 professional member. The make-up of the panel allows for independent decision making.


27. If you could suggest one improvement to the service we offer what would that be?


1. Submission to Panel copied to complainant 2. You need a provision to stop someone being a Legal Executive. Similar to a solicitor being struck off.


IPS comments/learning points:


All information that is submitted to the Panel and Tribunal is copied to the complainant and member. No additional submissions are made at PCP meetings, except where a member attends to make. PCP meetings are private however Tribunal hearings are public. Oral submissions made at Tribunal can be heard by the complainant should they choose to attend. In relation to comment two, there is a provision to exclude members from


Professional standards for specialist lawyers 35


practice. However all decisions are made by an independent panel taking into account mitigating and aggravating factors and using IPS sanctions guidance. It still remains the case that some complainants’ expectations are not being directly managed. IPS will endeavour to make clear to complainants that upon referral of a case to the PCP or Tribunal decisions are not made within the office but by independent panels. IPS will also make it clear that by that by accepting their complaint IPS does not necessarily agree it has merit.


28. Are there any further comments which you wish to make? 1. I like to work with them. They take care of my case and give me my right, so thank you so much.


2. Whilst I understand the outcome of your investigation following my and another’s complaint, I feel that the decisions made will not prevent [member 1 or member 2] from continuing to act in the manner that they did in my circumstances. It will not prevent them from issuing claims without the requisite authority. Whilst I accept that IPS / CILEx have done what they can within the powers they have I feel the likes of [member 1 and member 2] are in the main unchecked and unregulated. Perhaps this is for the courts to address however they advise they are too busy to address this type of situation


IPS comments/learning points:


Comment one highlights the positive outcome that investigating misconduct has on members of the public. Comment 2 highlights that an exclusion order made by IPS does not prevent a person from practising without CILEx membership. This is partly because of the inability to protect the term Legal Executive and the inability to prosecute those that have been excluded and continue to call themselves Legal Executives. In some circumstances action can be taken by the SRA or the police depending on the type of conduct being performed by excluded members.


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