S.I. No. 406/1997:

SOLICITORS (ADJUDICATOR) REGULATIONS 1997

SOLICITORS (ADJUDICATOR) REGULATIONS 1997

The Law Society of Ireland, in exercise of the powers conferred on them by Section 71 (as amended by Section 69 of the Solicitors (Amendment) Act, 1994 ) of the Solicitors Act, 1954 HEREBY MAKE the following Regulations:

1. (a) These Regulations may be cited as the Solicitors (Adjudicator) Regulations, 1997.

(b) These Regulations shall come into operation on the first day of October 1997.

2. (a) In these Regulations -

"the Adjudicator" means the person appointed as adjudicator by the Society pursuant to Regulation 5(a);

"the Compensation Fund Committee" means the committee of the Council of the Society which is responsible for the adjudication of claims for grants out of the Compensation Fund (maintained by the Society pursuant to section 21, as amended by substitution by section 29 of the Solicitors (Amendment) Act, 1994 , of the Solicitors (Amendment) Act, 1960 ) made by or on behalf of clients of solicitors who claim to have sustained loss in consequence of dishonesty on the part of their solicitors or employees of their solicitors;

"the Disciplinary Tribunal" means the Disciplinary Tribunal established pursuant to section 6 (as amended by substitution by section 16 of the Solicitors (Amendment) Act, 1994 ) of the Solicitors (Amendment) Act, 1960 AND, where relevant, includes the Disciplinary Committee established pursuant to section 6 of the Solicitors (Amendment) Act, 1960 ;

"he" and other cognate words denoting the masculine when used in these Regulations shall also include "she" and other cognate words denoting the feminine;

"the Scheme" means the scheme established, maintained and funded by the Society for the receipt and the examination or investigation by the Adjudicator pursuant to these Regulations of any complaint in writing made to the Adjudicator, by or on behalf of a client of a solicitor against the Society, concerning the handling by the Society of a complaint against that solicitor made to the Society by or on behalf of that client (which complaint to the Society is, in Regulations 7, 9 and 10, referred to as a "related complaint")

"the Registrars Committee" means the committee of the Council of the Society which is responsible for the adjudication of complaints made to the Society by or on behalf of clients of solicitors against their solicitors (other than complaints in the nature of claims for grants out of the Compensation Fund, the adjudication of which are the responsibility of the Compensation Fund Committee) which have been referred to it by the complaints section of the Society initially concerned with the receipt and the examination or investigation and the attempted resolution of such complaints;

"Regulation" means a regulation in these Regulations;

"the Society" means the Law Society of Ireland.

(b) Other words and phrases in these Regulations shall have the meanings assigned to them by the Solicitors Acts, 1954 to 1994.

( c ) In these Regulations, unless the context otherwise requires, the singular includes the plural.

3. The Interpretation Act, 1937 shall apply for the purposes of the interpretation of these Regulations as it applies for the purpose of the interpretation of an Act of the Oireachtas, except insofar as it may be inconsistent with the Solicitors Acts 1954 to 1994 or these Regulations.

4. The Society shall establish, maintain and fund the Scheme.

5. (a) The Society shall appoint an adjudicator to administer the Scheme and to perform such other functions as the Adjudicator is empowered by these Regulations to perform;

(b) The duration and the terms and conditions of the Adjudicator's appointment as Adjudicator shall be as agreed between the Society and the Adjudicator, such terms and conditions to include provision for -

(i) the remuneration of the Adjudicator; and

(ii) the annual expenses of the Adjudicator in providing for the proper and efficient administration and maintenance of the Scheme.

(c) The person appointed as the Adjudicator shall not be a practising solicitor, a member of the Society or a practising barrister and shall be independent in the exercise of his functions.

6. Where, by reason of illness or other physical incapacity, the Adjudicator believes that he is unable effectively to perform his functions under these Regulations for a specified duration of time, the adjudicator may request the Society to appoint another eligible person as an acting adjudicator to administer the Scheme in place of the Adjudicator for such specified and limited duration of time as the Adjudicator and the Society deem appropriate and reasonable in the particular circumstances; and an acting adjudicator so appointed shall during such limited period of his appointment have all the powers of the Adjudicator in administering the Scheme and in performing the other functions of the Adjudicator as provided for in these Regulations.

7. In administering the Scheme, the Adjudicator shall (subject to Regulation 9) be empowered:

(a) to receive and to examine or investigate any complaint in writing made to him by or on behalf of a client of a solicitor against the Society, concerning the handling by the Society of a. related complaint about that solicitor made to the Society by or on behalf of that client;

(b) to require the production of documents in the possession of the Society in connection with his examination or investigation of a complaint in writing made to him;

(c) to issue a memorandum in writing addressed to the Society and to the complainant and the solicitor concerned staling his conclusions of fact and his recommendations (if any) consequent on his examination or investigation of a complaint in writing made to him;

(d) to review generally the procedures of the Society in relation to the receipt and the examination or investigation by the Society of complaints in writing about a solicitor made to the Society by or on behalf of a client of that solicitor; and to make such recommendations to the Society in relation thereto as he deems appropriate;

(e) to submit annually to the Society during the month of December a report on his activities during the year ending on the preceding 30 September, for onward transmission by the Society to the Minister for Justice; which report may include recommendations for change in his or in the Society's procedures relating to the receipt, examination or investigation of complaints in writing made to him or made to the Society.

8. Without prejudice to the generality of Regulation 7, the Adjudicator may, in the course of administering the Scheme, seek the resolution of a complaint in writing made to him in such manner as he deems appropriate and reasonable in the particular circumstances.

9. In administering the Scheme, the Adjudicator shall not examine or investigate a complaint in writing received by him pursuant to Regulation 7(a) in any of the following circumstances, namely:

(a) where the complaint is received by him after the expiration of three years following the determination by the Society of the related complaint made to the Society;

(b) where the subject matter of the related complaint made to the Society about a solicitor has been or is in the course of being determined by a court or by the Disciplinary Tribunal;

(c) where the related complaint made to the Society relates to the alleged charging of excessive fees by a solicitor and the bill of costs in issue has been taxed or has been submitted to a Taxing Master of the High Court for taxation on a solicitor and own client basis;

(d) where the related complaint made to the Society about a solicitor is still in the course of being examined or investigated by the Society;

(e) where the complaint concerns a decision of the Compensation Fund Committee relating to the making of a grant, or the refusal to make a grant, out of the Compensation Fund or relating to the quantum of any such grant.

10. Where the Adjudicator has completed his examination or investigation of a complaint in writing received by him pursuant to Regulation 7(a), he may issue a memorandum in writing addressed to the Society and to the complainant and the solicitor concerned:

(a) directing the Society to re-examine or reinvestigate the related complaint made to the Society about a solicitor, where he is not satisfied that the Society have investigated the related complaint adequately; or

(b) directing the Society to make application to the Disciplinary Tribunal for an inquiry into the conduct of the solicitor concerned on the ground of alleged misconduct; or

(c) rejecting the complaint.

11. The Society shall, as soon as practicable after receipt by the Society of a direction by the Adjudicator under Regulation 10 (a) or (b), notify, in writing, the Adjudicator and the complainant and the solicitor concerned of the action the Society proposes to take pursuant to such direction.

12. In the performance of his functions under these Regulations, the Adjudicator shall be entitled:

(a) to determine the procedures he will follow in relation to the receipt and the examination or investigation of complaints in writing made to him and to promulgate such procedures to the public and to the solicitors profession in such a manner as he deems appropriate and reasonable;

(b) to require the production of documents in the possession of the Society in connection with his examination or investigation of a complaint in writing made to him pursuant to Regulation 7(a);

(c) to leave access to all employees of the Society concerned with the receipt and the examination or investigation and the attempted resolution of complaints made to the Society by or on behalf of clients of solicitors against their solicitors;

(d) to attend meetings of the Registrars Committee or any division of the Registrars Committee.

13. The Adjudicator may examine or investigate a complaint in writing made to him, notwithstanding:

(a) that the complaint made to him related to a matter which arose before the coming into effect of these Regulations; or

(b) that the person making the complaint may be entitled to bring proceedings in any court with respect to the matter complained of.

14. (a) The Adjudicator may decide not to examine or investigate a complaint in writing made to him or may discontinue his examination or investigation of such complaint where be is, or becomes, of the opinion that:

(i) the complaint is frivolous or vexatious; or

(ii) (where the complaint is made by a person other than the client of the solicitor concerned) the person purporting to make the complaint on behalf of the client of the solicitor concerned does not have the authority, expressed or implied, to do so or is acting either solely in his own interest or in the interest of a person who is not a client of the solicitor concerned in relation to the subject matter of the complaint; or

(iii) the complainant has refused to accept an offer of redress of the complaint which the Adjudicator in all the circumstances deems appropriate and reasonable.

(b) Where the Adjudicator decides not to examine or investigate a complaint in writing made to him or to discontinue his examination or investigation of a complaint in writing, the Adjudicator shall by memorandum in writing notify the Society and the complainant and the solicitor concerned of that decision and the reasons for that decision.

15. A copy of every annual report of the Adjudicator prepared pursuant to Regulation 7(e) shall, as soon as practicable after it has been submitted by the Adjudicator to the Society:

(a) be transmitted by the Society to the Minister for Justice; and

(b) be promulgated by the Society to the public and to the solicitors' profession in such a manner as the Registrars Committee or the Council of the Society deems appropriate and reasonable.

Dated this 26th day of September 1997.

Signed on behalf of the Law Society of Ireland pursuant to Section 79 of the Solicitors Act, 1954 .

Francis D. Daly

President of the Law Society of Ireland