Made | 27th July 2001 | ||
Laid before Parliament | 3rd August 2001 | ||
Coming into force | 30th September 2001 |
1. | Citation and commencement |
2. | Interpretation |
3. | References and complaints |
4. | Revocation of licences and recognitions obtained through fraud or error |
5. | Applications after disqualification or revocation |
6. | Making appeals |
7. | Appeals against deemed refusal of recognition under section 32 of the Act |
8. | Notice of hearing |
9. | Postponement of hearing |
10. | Preliminary hearings etc. |
11. | Documents upon which a party proposes to rely |
12. | Notice requiring indication of contested matters in rule 3 or 4 cases |
13. | Admission of and challenge to documents |
14. | Amending allegations or complaints or grounds of appeal |
15. | Hearing and adjournment |
16. | Representation and non-appearance |
17. | Witnesses |
18. | Quality of evidence and standard of proof |
19. | Proof of conviction |
20. | Announcements by the Committee |
21. | Parties' rights as to record of proceedings |
22. | Procedure in rule 3 cases: general |
23. | The allegation or complaint |
24. | Respondent's response to the allegation or complaint |
25. | Admission of all allegations or complaints |
26. | Denial of some or all allegations or complaints |
27. | Determination of allegations or complaints |
28. | Cases where some allegations or complaints are admitted and some denied |
29. | Procedure where there is more than one respondent |
30. | Licences and recognitions obtained through fraud or error |
31. | Applications for removal of licence disqualification or for further licence or recognition following revocation for fraud |
32. | Procedure etc. on appeals |
33. | Service of documents |
34. | Procedure on postponement of determination |
35. | Committee voting |
36. | Absence of chairman |
37. | Relaxation of rules |
(b) in the case of an appeal under section 29 of, or paragraph 8 of Schedule 6 to the Act, the Council;
(c) in the case of an application under section 27 or 28(2) of, or paragraph 7(2) of Schedule 6, to the Act, the Council;
(d) in the case of a reference under rule 4, the person or recognised body whose licence or recognition may be revoked;
(2) The Interpretation Act 1978[4] applies to these Rules as it applies to an Act of Parliament.
(2) A copy of such a reference or complaint must be served on the respondent, together with a copy of these Rules, and a copy lodged with the Chairman of the Committee, within 14 days of the making of the reference or the decision to make the complaint.
(3) A complainant other than the Council wishing to refer a complaint to the Committee under paragraph 17(1) of Schedule 8 to the 1990 Act must comply with paragraph (1) above, sub-paragraphs (a), (b) and (c) above and, save as to the reference to time, paragraph (2) and in addition must at the same time serve a copy of the complaint on the Council.
Revocation of licences and recognitions obtained through fraud or error
4.
- (1) Where -
the Council must refer the matter to the Committee.
(2) Where -
the Council must refer the matter to the Committee.
(3) A reference under this rule must -
(4) A copy of such a reference must be served on the respondent, together with a copy of these Rules.
(5) On such a reference, the Committee must hold a hearing to determine the allegation.
Applications after disqualification or revocation
5.
An application to the Committee under section 27(1) or 28(2) of, or paragraph 7(2) of Schedule 6 to, the Act must -
Making appeals
6.
An appeal to the Committee under section 29 of, or paragraph 8 of Schedule 6 to, the Act must -
Appeals against deemed refusal of recognition under section 32 of the Act
7.
- (1) This rule applies where -
(2) For the purposes of these Rules -
(3) The applicant may appeal to the Committee under paragraph 8 of Schedule 6 to the Act before the expiry of the period of one month beginning with that day.
(4) As soon as possible after receiving an application for recognition made under section 32 of the Act, the Council must notify the applicant in writing of the date on which it was received.
the Council must serve on the other parties and the Legal Assessor a notice in writing, stating the date, time and place at which the Committee will hold a hearing into the matter and which includes a statement as to the parties' rights under rule 16.
(2) In the case of a reference or complaint within rule 3 or a reference under rule 4, the notice also must contain details of the matters alleged against the respondent in the form of an allegation or complaint dealing with each matter separately and specifying the provision under which each reference or complaint is made, and setting out each allegation or complaint and a summary of the facts relied on to support it.
(3) A hearing must not be held earlier than 28 days after the notice of hearing is served under paragraph (1), unless the parties agree or these Rules provide otherwise.
(4) The Council must also serve on the other parties and the Legal Assessor a notice in writing of a postponed, adjourned, or preliminary hearing, stating the date, time and place of the hearing, unless, in the case of an adjourned hearing, all parties and the Legal Assessor are present at the hearing which is adjourned and agree upon the date, time and place of the postponed hearing.
Postponement of hearing
9.
- (1) The Chairman or the Committee may postpone a hearing at any stage of the proceedings if any party applies for a postponement or it appears appropriate.
(2) The postponement may be on such terms as the Chairman or, as the case may be, the Committee think fit.
(3) The Council must notify all parties and the Legal Assessor of such a postponement as soon as possible and must then comply with rule 8(4) of these Rules.
Preliminary hearings etc.
10.
The Committee may hold a preliminary hearing -
or the Chairman may give such directions without a preliminary hearing.
Documents upon which a party proposes to rely
11.
- (1) At least 21 days before the date of a hearing (other than the hearing of an appeal), each party must -
(2) If a party who proposes to rely on an affidavit is requested in writing by any other party to supply that party with a copy of any document referred to in the affidavit, but not exhibited to it, he must, not later than 7 days after receiving the request, supply that party with a copy of it and a notice in writing of the address where the document may be inspected if notice is given under paragraph (3).
(3) Each party may during normal office hours inspect the documents of which copies have been supplied under this rule, if he gives the party who supplied them 3 days' notice of his wish to do so.
Notice requiring indication of contested matters in rule 3 or 4 cases
12.
- (1) At least 21 days before the date of a hearing of an allegation or complaint within rule 8(2) the Council may by notice in writing require the respondent to give an indication to the Council within 14 days of the receipt of the notice as to which of the allegations or complaints or of the facts set out in it are in dispute.
(2) A respondent is not bound at the hearing by any indication given by him to the Council under this rule.
Admission of and challenge to documents
13.
- (1) Any party ("the first party") may, by notice in writing served not later than 14 days before the day of the hearing, call upon any other party ("the other party") to admit the authenticity of any document.
(2) If such a notice is served, the other party is deemed to have admitted the document's authenticity, unless -
Amending allegations or complaints or grounds of appeal
14.
- (1) If -
it may be done by serving an amended notice under rule 8 or using the same procedure as applied for the original reference, complaint, application or appeal, but the consent of the Committee is required for an amendment less than 21 days before the date of the hearing.
(2) Where an amendment or addition is made under this rule, on an application by the respondent the Committee may postpone the hearing.
and references in these Rules to the parties are to be taken in appropriate cases to include the persons representing them.
(2) If a party fails to appear -
Witnesses
17.
- (1) Subject to the following provisions of this rule, evidence may be given in person or by affidavit.
(2) The evidence of a witness may not be given by affidavit, if -
(3) The evidence of a witness may only be given by affidavit -
(b) if all the parties agree.
(4) If a party proposes to call a witness who has not deposed to an affidavit, the party must, at least 14 days before the date of the hearing -
(5) Such a written statement by a witness who has not deposed to an affidavit may be treated as the witness's evidence in chief, unless the Committee determine otherwise.
(6) The Committee may direct any party to call as a witness any person specified in the direction.
(7) The Chairman may examine any party or witness at any stage of a hearing and with his consent any member of the Committee or the Legal Assessor may do so.
Quality of evidence and standard of proof
18.
- (1) Subject to paragraph (2), in any proceedings before the Committee -
(2) In proceedings where a criminal act or any fraud or dishonesty is alleged -
(3) This rule does not apply to an allegation to which rule 19 applies.
Proof of conviction
19.
- (1) If -
the conviction must be proved by the Council by the production of a certificate of conviction or the affidavit of a person who attended the trial.
(2) If the respondent denies a conviction, he may adduce evidence on the question whether he was convicted as alleged, and may address the Committee about that question.
(3) Only one address may be made by a respondent under paragraph (2) and, where the respondent adduces evidence, the address may be made either before that evidence is begun or after it is concluded.
(4) The Council is entitled to reply to any submission made by the respondent under paragraphs (1) to (3), and may call evidence in rebuttal.
(5) If the Council does call such evidence, the respondent may make a further address limited to the rebutting evidence.
(6) At the conclusion of submissions and the calling of evidence, the Committee must determine whether or not the conviction has been proved to their satisfaction.
(7) If they are not so satisfied, they must dismiss the allegation or complaint relating to the conviction.
(8) If they are so satisfied, the conviction is to be admitted in evidence against the respondent.
Announcements by the Committee
20.
The Chairman must announce the decisions, direction, determinations and judgements of the Committee under these Rules in such terms and in such manner as the Committee agree.
Parties' rights as to record of proceedings
21.
Any party to the proceedings is entitled to a copy of any matters recorded concerning the proceedings and kept by the Council, on payment of the cost of recording them and supplying the copy.
(5) Where the respondent denies or is deemed to deny any allegation or complaint, the procedure specified in rule 26 (denial of some or all allegations or complaints) must be followed.
Admission of all allegations or complaints
25.
- (1) The Solicitor must first -
(2) The Chairman must then invite the respondent to make representations to the Committee as to any mitigating circumstances and adduce evidence about the mitigating circumstances, if he wishes to do so.
(3) The Committee must next determine -
Denial of some or all allegations or complaints
26.
- (1) The Solicitor must first set out the case against the respondent and then adduce evidence of the allegations or complaint.
(2) If the complainant is not called as a witness, he may be heard by the Committee if he wishes.
(3) If no evidence about an allegation or complaint is given, the Committee must determine that they are not satisfied as to it and dismiss it.
(4) If the respondent attends the hearing -
(5) If the respondent makes such a submission -
(6) The respondent may -
and, if he chooses to adduce evidence under paragraph (a), may choose whether to address the Committee under paragraph (b), before beginning to adduce it or after its conclusion.
(7) Any witness who gives evidence for the respondent may be cross-examined by the Solicitor, and the Chairman may permit the respondent to examine the witness further.
(8) After that, if the Committee permit him to do so, the Solicitor may adduce evidence to rebut any evidence adduced by the respondent; and, if he does so, the respondent may make a further address limited to the Solicitor's evidence.
(9) If evidence, which does not relate to the respondent's character, is given by a person other than the respondent, the Solicitor may address the Committee by way of reply to the respondent's case; and the Committee may permit him to do so when no such evidence has been adduced.
(10) If the respondent makes a submission to the Committee on a point of law, the Solicitor has a right of reply limited to the submission (but without prejudice to his rights under paragraph (9)).
Determination of allegations or complaints
27.
- (1) At the conclusion of the hearing the Committee must determine which allegations or complaints have been proved to their satisfaction.
(2) If the Committee determine that any allegation or complaint has not been proved to their satisfaction, the Committee must dismiss that allegation or complaint.
(3) If the Committee determine that any allegation or complaint has been proved to their satisfaction -
Cases where some allegations or complaints are admitted and some denied
28.
- (1) If some allegations or complaints are admitted but others are denied, the procedure set out in rule 25 must be postponed until the determination of the denied allegations or complaints.
(2) The procedure relating to mitigation in respect of admitted allegations or complaints must be dealt with in conjunction with mitigation in respect of any disputed allegations or complaints which the Committee determine have been proved.
Procedure where there is more than one respondent
29.
- (1) A single hearing may be held into allegations or complaints against two or more respondents.
(2) Subject to paragraph (3), these Rules apply to such a hearing as they do to a hearing involving one respondent, but with the necessary adaptations and subject to any directions given by the Committee as to the order in which proceedings are to be taken in relation to each of the respondents.
(3) The rights or a respondent under these Rules are to be exercised separately by each of the respondents who wishes to exercise them.
the Committee must hold a hearing to determine the application.
(2) Such a hearing must be conducted in accordance with the following procedure.
(3) The hearing must be opened by the Council providing the Committee with a summary of their previous findings and order.
(4) Then the applicant may adduce evidence in support of the application, and then the Council may cross-examine the applicant and any witness called on his behalf.
(5) At the conclusion of the case for the applicant the Council may adduce evidence in response and the applicant may then cross-examine any witness called on behalf of the Council.
(6) At any stage of the hearing, the Chairman or, with his leave, any other member of the Committee or the Legal Assessor may examine any party or witness.
(7) At the conclusion of the evidence the applicant may address the Committee, and then the Council may address the Committee, but no further submissions are permitted, unless the Chairman allows them.
(8) The provisions of rules 8 to 21 have effect in the case of an application within paragraph (1), subject to such modifications as the Chairman or the Committee consider appropriate in the case of such an application.
(b) it relates to conduct which occurred after the date of the refusal or decision which is the subject of the appeal.
(3) The Committee may hold a preliminary hearing for determining issues relating to the production of fresh evidence and the conduct of the appeal, and the Committee may give directions about the conduct of the appeal at such a preliminary hearing, or the Chairman may do so without a hearing.
(4) Unless a collection of all the documents relevant to determination of the matter which is the subject of the appeal with an index at the front and all pages numbered has been -
the Committee may dismiss the appeal.
(5) If any party to the appeal wishes to raise a point of law, he must serve a notice, summarising the point and his argument about it, on every other party and the Legal Assessor at least 14 days before the date it is heard.
(6) The Chairman may examine any party or witness at any stage of the hearing and with the Chairman's consent any member of the Committee or the Legal Assessor may do so.
(2) Any document required by these Rules to be served on the Council must be served by a method mentioned in paragraph (1) at the principal place of business of the Council.
(3) Service by a method mentioned in paragraph (1)(b) to (e) is deemed to have been effected on the second business day after the document is dispatched.
Procedure on postponement of determination
34.
- (1) Where under these Rules the Committee postpone making their determination in any case, the following procedure must be adopted.
(2) At the resumed hearing -
(3) That further evidence may include evidence -
(4) The licensed conveyancer or recognised body may be heard by the Committee and may adduce evidence in respect of any matter raised under paragraph (3).
(5) If the Committee again postpone their determination, this rule applies with such modifications as they think fit.
(6) At any resumed hearing under this rule, if a new allegation or complaint has been made against a respondent -
(7) In a case within paragraph (6)(b), the resumed hearing may take place on the same day as the hearing of the new allegation or complaint, notwithstanding rule 8(3).
Committee voting
35.
- (1) Any question put to the vote must be formulated and put to the Committee members present by the Chairman.
(2) The Chairman must call on the Committee members present to vote for or against the question and must declare the result.
(3) The Chairman is entitled to vote.
(4) If an equal number of votes is cast for and against the question, the question is deemed to have been determined -
Absence of chairman
36.
Subject to paragraph 4 of Schedule 4 to the Act, anything authorised or required by these Rules to be done by the Chairman may, if he is absent or unable to act or continue to act, be done by any other member of the Committee who is authorised for the purpose by the Chairman or, if no person is authorised, by the other members present.
Relaxation of rules
37.
- (1) At the request of any applicant, appellant or respondent (but, in a case where the respondent is the Council, only with the consent of the applicant or appellant), the Committee may direct that any requirement of these Rules is not to apply or is relaxed in any manner they think fit; and such a direction may be given subject to such other requirements as they think fit.
(2) Where they have given such a direction, they may give a further direction that the requirement is again to apply or, as the case may be, to apply without the relaxation or with others.
[3] Paragraph 3 was amended by paragraph 64 of Schedule 10 to the Courts and Legal Services Act 1990.back
[5] Paragraph 3 was amended by paragraph 64 of Schedule 10 to the Courts and Legal Services Act 1990.back