HC Deb 17 July 1985 vol 83 cc385-8

`1.—(1) There shall be a body to be known as the Solicitors Complaints Board.

(2) It shall be the general duty of the Board to promote high standards of competence and professional conduct among solicitors and to ensure that those standards are sufficient to secure adequate protection for members of the public.

(3) Schedule [The Solicitors Complaints Board] to this Act shall have effect with regard to the Board.

2.—(1) The Board may, in pursuance of its general duty referred to in paragraph (2) of subsection 1, make rules, with the concurrence of the Master of the Rolls and after consultation with the Council of the Law Society, for regulating in relation to any matter the professional practice, conduct and discipline of solicitors, including rules for regulating the association of solicitors with other persons in connection with the provision of legal services to members of the public.

(2) If any solicitor fails to comply with rules made under this section any person may make a complaint in respect of that failure to the Board.

3.—(1) There shall be established two committees of the Board to be known as the Investigation Panel and the Adjudication Panel, constituted as provided by the Board by rules under this section and having, as from the appointed clay, the functions conferred or imposed on them by or under subsections 4, 5 and 6 of this section.

(2) Rules under paragraph (1) above—

  1. (a) shall secure that a person who sits as a member of the investigation panel in the preliminary proceedings on any case shall not sit as a member of the Adjudication Panel in any subsequent proceedings on that case; and
  2. (b) shall not come into force until approved by order of the Lord Chancellor.

(3) The power to make orders under paragraph (2) above shall be exercisable by Statutory Instrument subject to annulment in pursuance of a resolution of either House of Parliament and includes power to vary of revoke such an order by subsequent order.

4.—(1) The Investigation Panel shall have the functions conferred or imposed on them by this section.

(2) It shall be the duty of the panel to investigate any case in which—

  1. (a) a complaint is made to the Board by or on behalf of a member of the public against a solicitor, in respect of the professional conduct of, or the services provided by that solicitor; or
  2. (b) it is alleged that a solicitor—
    1. (i) has (whether while a solicitor or otherwise) been convicted by any court in the United Kingdom of a criminal offence which renders him unfit to practice as a solicitor; or
    2. (ii) has, while holding a practising certificate in force under the Solicitors Act 1974, failed to comply with any condition to which that practising certificate was subject; or
    3. (iii) has failed to comply with any rules made by the Board under this Act; with a view to presenting the findings of such investigation to a Tribunal of the Adjudicating Panel for determination under subsection 6 of this section.

(3) For the purposes of paragraph 2(a) a complaint against a person who, at the time of the matters complained of, was an employee or associate of a solicitor shall be treated as a complaint against that solicitor.

(4) Any reference in paragraphs (2) and (3) to a solicitor includes reference to a person who was a solicitor at the time of the matters in question.

5.—(1) Where the Investigation Panel are satisfied that it is necessary to do so for the purposes of investigating any complaint made to the Board—

  1. (a) alleging professional misconduct by a solicitor; or
  2. (b) relating to the quality of any professional services provided by a solicitor,
the Board may give notice to the solicitor or his firm requiring the production or delivery to any person appointed by the Board, at a time and place to be fixed by the Board, of all documents in the possession of the solicitor or his firm in connection with the matters to which the complaint relates (whether or not they relate also to other matters)

(2) Sub-paragraphs (2) to (12) of paragraph 9 of schedule 1 to the Solicitors Act 1974, together with paragraphs 12 to 16 of that Schedule, shall apply in relation to the powers conferred by paragraph (1) as they apply in relation to the powers conferred by sub-paragraph (1) of paragraph 9 of that Schedule and accordingly in those provisions—

  1. (a)any reference to the Society shall be construed as including a reference to the Board; and
  2. (b) any reference to a person appointed, or to a requirement, under sub-paragraph (1) aforesaid shall be construed as including a reference to a person appointed, or to a requirement, under paragraph (1); and
  3. (c) any reference to any such documents as are mentioned in sub-paragraph (1) aforesaid shall be construed as including a reference to any such documents as are mentioned in paragraph (1).

(6)—(1) The Adjudication Panel shall have the functions conferred or imposed on them by this subsection.

(2) It shall be the duty of the Panel to consider the findings of any investigation presented to them by the Investigation Panel with a view to taking one or more of the following courses of action:—

The panel may, in an appropriate case—

  1. (a) dismiss the complaint or allegation; or
  2. (b) administer a reprimand to the solicitor; or
  3. (c) refer the case to the Solicitors Disciplinary Tribunal for hearing and determination; or
  4. (d) refer the case to the Arbitration Service for hearing and determination under subsection 9 of this section;
  5. (e) where the professional services provided by a solicitor in connection with any matter were in any respect not of the quality that could reasonably be expected of him as a solicitor,
    1. (i) determine that the costs to which the solicitor shall be entitled in respect of those services shall be limited to such amount as may he specified in their determination and direct the solicitor to comply, or to secure compliance, with such one or more requirements falling within paragraph (2) as appear to them to be necessary in order to give effect to their determination;
    2. (ii) direct the solicitor to secure the rectification, at the expense of the solicitor or his firm, of any such error, omission or other deficiency arising in connection with the said matter as they may specify:
    3. (iii) direct the solicitor to take, at the expense of the solicitor or his firm, such other action in the interests of the client as they may specify.
  6. (f) The requirements referred to in subsection (e)(i) are—
    1. (i) a requirement to refund the whole or part or any amount already paid by or on behalf of the client in respect of the solicitor's cost in respect of the services referred to in that provision;
    2. (ii) a requirement to remit the whole or part of those costs;
    3. (iii) a requirement to waive, whether wholly or to any special extent, the right to recover those costs.

(3) The Panel shall give notice of any action which it takes under paragraph (2), and of the grounds for any such action, to the complainant and to the Law Society.

(4) Where it appears to the Panel—

  1. (a) that any such allegation or complaint as is mentioned in paragraph 2 of subsection 4 ought to be referred to the Solicitor's Disciplinary tribunal for hearing and determination by that Tribunal; and
  2. (b) that it is necessary for the protection of the public to do so, the Panel may direct that any practising certificate held by the solicitor in question shall be suspended until the allegation or complaint is determined by the Solicitor's Disciplinary Tribunal or until the expiration of such period as may be prescribed by rule made by the Board, whichever is the earlier.

7.—(1) Subsection (2) of section 46 of the Solicitors Act 1974 (Solicitors Disciplinary Tribunal) shall be amended to read as follows— (2) The Master of the Rolls shall, after consultation with the Solicitors Complaints Board and with bodies representing the interests of consumers, appoint the members of the Tribunal.

(2) After subsection (2) of section 46 of the Solicitors Act

1974 (Solicitors Disciplinary Tribunal) shall be inserted— (2A) A person who is a member of the Council of the Law Society shall not be eligible to be a member of the Solicitors Disciplinary Tribunal.

8.—(1) The Board shall establish an Arbitration Service for the determination of cases arising out of a complaint to the Board in which compensation not exceeding £2,000 may be appropriately awarded.

(2) The Arbitration Service shall be constituted as provided by the Board by rules made under this section.

(3) Rules under paragraph (2)—

  1. (a) shall secure that a person who sits as a member of the Investigation Panel in the preliminary proceedings on any case shall not sit as a member of the Arbitration Service in any subsequent proceedings on that case; and
  2. (b) shall not come into force until approved by order of the Lord Chancellor.

(4) The power to make orders under paragraph (3) shall be exercisable by Statutory Instruments subject to annulment in pursuance of a resolution of either House of Parliament and includes a power to vary or revoke such an order by subsequent order.

9.—(1) The Arbitration Service shall have the functions conferred on them by this section.

(2) It shall be the duty of the Service to hear and determine any case referred to them under subsection 6 of this section.

(3) Upon determining any such case as is referred to in paragraph (2) the Arbitration Service may—

  1. (a) award compensation to the complainant not exceeding £2,000; or
  2. (b) dismiss the case.

(4) The Board may, with the approval of the Lord Chancellor, make rules providing for the procedure to be followed by the Arbitration Service when hearing and determining any such case as it mentioned in paragraph (2).

(5) If it appears to the Lord Chancellor that there has been a change in the value of money since the date when this section comes into force, he may by Order made by Statutory Instrument subject to annulment in pursuance of a resolution of either House of Parliament substitute for the sum specified in sections 8(1) and 9(3) such sum as is the then equivalent of £2,000.'.—[Mr. Nicholas Brown.]

Brought up, and read the First time.

Mr. Nicholas Brown

I beg to move, That the clause be read a Second time.

Mr. Deputy Speaker (Mr. Ernest Armstrong)

With this it will be convenient to take the following: New clause 8—Council for Legal Services—

'(1) For the purposes of Part I of this Act and the Solicitors' Act 1974 there shall be a body known as the Council for Legal Services.

(2) It shall be the general duty of the Council to ensure that standards of quality of service which can reasonably be expected of solicitors and of professional conduct among solicitors are upheld and enforced and it shall assume all the powers of the Law Society under the Solicitors Act 1974 for that purpose.

(3) Schedule 9 will have effect with respect to the Council.

(4) The Council shall appoint an Ombudsman who shall have responsibility for

  1. (i) the investigation of complaints against solicitors in respect of quality of service and professional conduct
  2. (ii) promoting conciliation in appropriate cases
  3. (iii) unless falling within the jurisdiction of the Solicitors' Disciplinary Tribunal, in resolving complaints and applying the sanctions available to the Council under section of the Solicitors' Act 1974.

(5) The Solicitors Act 1974 shall have effect subject to the amendments specified in Schedule 10.'.

Amendment No. 1, in page 2, line 4, leave out clause 1

Amendment No. 2, in page 4, line 19, leave out clause 2

Amendment No. 18—New Schedule—