Disciplinary control of recognised bodiesE+W
2In addition to the functions conferred on them by sections 24 and 25 the Investigating Committee and the Discipline and Appeals Committee shall have the functions conferred on them by the following provisions of this Schedule.
3(1)The Investigating Committee shall carry out a preliminary investigation of any case in which—
(a)it is alleged that a recognised body—
(i)has (while a recognised body) been convicted by any court in the United Kingdom of a criminal offence which renders it unsuitable to be recognised under section 32; or
(ii)has failed to comply with any rules applicable to it by virtue of that section; or
(b)a complaint is made to the Council by or on behalf of a member of the public about a recognised body,
with a view to determining whether the case ought to be referred by the Committee to the Discipline and Appeals Committee for hearing and determination by that Committee under paragraph 4.
(2)For the purposes of sub-paragraph (1)(b) a complaint about a person who at the time when the conduct to which the complaint relates took place was an officer or employee of a recognised body shall be treated as a complaint about the body.
Yn ddilys o 31/03/2009
[F13A(1)Where, on hearing an allegation by virtue of paragraph 3(1A)(a), the Investigating Committee are satisfied—E+W
(a)in a case within paragraph 3(1)(a), that a recognised body has failed to comply with any such rules as are mentioned in sub-paragraph (ii) of that paragraph, or
(b)in a case within paragraph 3(1)(aa), that a manager or employee has failed to comply with any such rules as are mentioned in that paragraph, or
(c)in a case within paragraph 3(1)(ab), that a recognised body has failed to comply with any condition mentioned in that paragraph,
the Committee may make an order directing the payment by the recognised body, manager or employee of a penalty to be forfeited to Her Majesty.
(2)In relation to proceedings before the Investigating Committee by virtue of paragraph 3(1A)(a), the Committee may make such order as they consider fit as to the payment of costs by—
(a)the Council;
(b)the recognised body, manager or employee against whom the proceedings were brought;
(c)if the person on whose allegation the proceedings were brought was heard (in person, or through a representative) by the Committee in the course of the proceedings, that person.
(3)In sub-paragraph (2), for the purposes of paragraph (a) or (b) of that sub-paragraph, the reference to costs includes costs incurred in connection with a preliminary investigation of the allegation under paragraph 3.
(4)The amount of any penalty required to be paid under sub-paragraph (1) may not exceed such amount as is prescribed by rules made by the Council for the purposes of this sub-paragraph.
(5)Paragraphs 1, 2(1) and (3) and 4 of Schedule 4 have effect in relation to—
(a)proceedings for the hearing and determination of an allegation by the Investigating Committee, as they have effect in relation to proceedings before the Discipline and Appeals Committee under section 26, and
(b)orders of the Investigating Committee, as they have effect in relation to orders of the Discipline and Appeals Committee.
(6)A person against whom an order is made by the Investigating Committee by virtue of sub-paragraph (1) may appeal to the Discipline and Appeals Committee, and on any such appeal the Discipline and Appeals Committee may make such order as they think fit.
(7)If an order is made by the Investigating Committee by virtue of sub-paragraph (2), a person listed in paragraphs (a) to (c) of that sub-paragraph may appeal to the Discipline and Appeals Committee, and on any such appeal the Discipline and Appeals Committee may make such order as they think fit.
(8)Where an order is made by the Discipline and Appeals Committee under sub-paragraph (6) or (7)—
(a)a party to the appeal, or
(b)if not within paragraph (a), the Council,
may appeal against the order to the High Court.
(9)On an appeal under sub-paragraph (8) the High Court may make such order as it thinks fit.
(10)The decision of the High Court on an appeal under sub-paragraph (8) shall be final.]
Textual Amendments
F1Sch. 6 para. 3A inserted (31.3.2009) by Legal Services Act 2007 (c. 29), ss. 182, 211, Sch. 17 para. 32(5), (with ss. 29, 192, 193); S.I. 2009/503, art. 2(c)(i) (subject to art. 4)
4(1)Where on the hearing of any allegation the Discipline and Appeals Committee are satisfied that a recognised body—
(a)has been convicted as mentioned in sub-paragraph (i) of paragraph (3)(1)(a); or
(b)has failed to comply with any such rules as are mentioned in sub-paragraph (ii) of that paragraph,
the Committee may, if they think fit, make one or more of the orders referred to in sub-paragraph (2).
(2)Those orders are—
(a)an order revoking the recognition under section 32 of the body to which the allegation relates;
(b)an order directing the payment by that body of a penalty not exceeding £3,000, to be forfeited to Her Majesty;
(c)an order requiring that body to pay the costs incurred in bringing against it the proceedings before the Committee or a contribution towards those costs, being a contribution of such amount as the Committee consider reasonable.
[F2(3)Where it appears to the Council that the professional services provided by a recognised body in connection with any matter in which that body has been instructed by a client have, in any respect, not been of the quality which it is reasonable to expect of that body, the Council may take any step with respect to that recognised body as it could take under paragraphs 14 to 20 of Schedule 8 of the Courts and Legal Services Act 1990 with respect to a licensed conveyancer in similar circumstances.
(3A)Those paragraphs shall have effect (with the necessary modifications) with respect to any steps taken against the recognised body under this sub-paragraph as they have effect with respect to any steps taken with respect to a licensed conveyancer under paragraph 14 of that Schedule.]
(4)Subsections (5) and (6) of section 26 shall have effect in relation to the sum specified in sub-paragraph (2)(b) as they have effect in relation to the sum specified in subsection (2)(e) of that section.
Textual Amendments
F2Sch. 6 para. 4(3)(3A) substituted (1. 4. 1991) for limited purposes by Courts and Legal Services Act 1990 (c. 41, SIF 37), s. 125(6), Sch. 18, para.58 (with s. 125(3), Sch. 19 para. 15(c),) ; S.I. 1991/608, art. 2, Sch.
5(1)Where—
(a)any order is made by the Discipline and Appeals Committee under section 26 in the case of a director of a recognised body; or
(b)any such order is made in the case of a person employed by a recognised body and the act or omission constituting the ground on which the order was made was instigated or connived at by a director of the recognised body, or, if the act or omission was a continuing act or omission, a director of the body had or reasonably ought to have had knowledge of its continuance,
the Discipline and Appeals Committee may, if they think fit, by order revoke the recognition of that body under section 32.
(2)The Committee shall not take a case into consideration during any period within which proceedings by way of appeal may be brought which may result in sub-paragraph (1) being rendered inapplicable in that case, or while any such proceedings are pending.
(3)The reference to a director of a recognised body in paragraph (a) or (b) of sub-paragraph (1) includes a reference to a person who was a director of the body at the time of the conduct leading to the making of the order referred to in that paragraph.