10.—(1) Any application, Statement or other document required to be served under rules 6(5), 8(5) and 9(4) shall be served—
(a)personally; or
(b)by sending by guaranteed delivery post or other guaranteed and acknowledged delivery to the last known place of business or abode of the person to be served; and
(c)in such other manner as the Tribunal may direct.
(2) Any Statement, notice or document other than one which is required to be served in accordance with paragraph (1) may be served in accordance with that paragraph.
(3) In the case of a solicitor, any Statement, notice or other document required to be served under these rules may be served—
(a)by leaving it at the address shown as his place of business in the register kept by the Law Society under section 9 of the Act; or
(b)by any of the methods mentioned in paragraphs (a) to (d) of rule 6.2(1) of the Civil Procedure Rules 1998(1) as they may be modified, amended or replaced.
(4) Any application, Statement, notice or other document served in accordance with paragraph (1) shall be deemed served on the second working day following the day on which it is delivered, posted or transmitted.
(5) An application, Statement, notice or other document delivered to the last known place of business or abode of the person to be served may be regarded by the Tribunal as duly served if it is satisfied that it is reasonable to expect that the application, Statement, notice or other document has been received by or brought to the attention of the person to be served.
(6) If the Tribunal requires the advertisement of any proceedings under these Rules, it may regard that advertisement as service for the purposes of these Rules.
Commencement Information
I1Rule 10 in force at 14.1.2008, see rule 1
11.—(1) A clerk may give any directions deemed necessary or appropriate for the hearing of any matter brought before the Tribunal.
(2) Without prejudice to paragraph (1), directions may be made about documentation, inspection, Statements, skeleton arguments and the place or time of any hearing.
(3) A clerk may appoint a time and place for the review of the progress of the matter and shall notify the parties of the date, time and place of any such review.
(4) A clerk may refer to the Tribunal any matter for a decision or directions and the Tribunal may itself or on the application of any party make an order on such terms as to the Tribunal shall appear just—
(a)to give consent to the withdrawal of an application or allegation in respect of which a case to answer has been certified;
(b)to adjourn any hearing listed for directions or for a substantive hearing;
(c)to agree to the amendment of any application or allegation or the correction of any matter;
(d)to make any directions which shall appear necessary or appropriate to secure the timely hearing of the matter.
(5) Any hearing under this rule shall be held in public unless rules 12(5) or (6) apply.
(6) No application or allegation in respect of which a case to answer has been certified may be withdrawn without the consent of the Tribunal.
Commencement Information
I2Rule 11 in force at 14.1.2008, see rule 1
12.—(1) Unless the Tribunal has made directions in respect of the hearing, a clerk shall appoint a date for the hearing by the Tribunal and shall give notice of the date to the parties. The hearing shall not, unless all the parties have agreed or the Tribunal has so ordered, take place sooner than the expiry of a period of 42 days beginning with the date of service of the notice appointing the date of the hearing.
(2) A clerk shall arrange for the hearing date to be published in the Daily Cause List of the High Court.
(3) Subject to paragraphs (5) and (6) every hearing shall take place in public.
(4) Any party to an application and any person who claims to be affected by it may seek an order from the Tribunal that the hearing or part of it be conducted in private on the grounds of—
(a)exceptional hardship; or
(b)exceptional prejudice,
to a party, a witness or any person affected by the application.
(5) If it is satisfied that those grounds are met, the Tribunal shall conduct the hearing or part of it in private and make such order as shall appear to it to be just and proper.
(6) The Tribunal may, before or during a hearing, direct that the hearing or part of it be held in private if—
(a)the Tribunal is satisfied that it would have granted an application under paragraph (4) had one been made; or
(b)in the Tribunal’s view a hearing in public would prejudice the interests of justice.
Commencement Information
I3Rule 12 in force at 14.1.2008, see rule 1
13.—(1) Subject to the following provisions of this rule, the Civil Evidence Act 1968(2), and the Civil Evidence Act 1995(3) shall apply in relation to proceedings before the Tribunal in the same manner as they apply in relation to civil proceedings.
(2) Any notice given under the provisions of the Acts mentioned in paragraph (1) shall be given no later than 21 days before the date fixed for the hearing of an application.
(3) Any counter-notice shall be given no later than 10 days before the date fixed for the hearing.
(4) No later than 28 days before the date fixed for the hearing of an application, the applicant may, by written notice, require any other party to the application to indicate to him, no later than the date on which the period of 14 days from the date of the giving of the notice expires, which of any facts set out in the Statement submitted in support of the application are in dispute.
(5) Failure to reply to such a notice shall be material only in relation to the question of costs.
(6) Any party to an application may, by written notice, not later than nine days before the date fixed for the hearing, request any other party to agree that any document may be admitted as evidence.
(7) If any other party desires to challenge the authenticity of a document which is the subject of paragraph (6), he shall no later than the date on which the period of six days beginning with the date on which the notice was served, give notice that he does not agree to the admission of the document and that he requires that its authenticity be proved at the hearing.
(8) If the recipient of a notice given under paragraph (6) does not give a notice in response within the period mentioned in paragraph (7), he shall be deemed to have admitted the document unless otherwise ordered by the Tribunal.
(9) A party to an application may, pursuant to Section 46(11) of the Act, require the attendance at the hearing of any person or the production of any document relevant to the proceedings and any summons for that purpose shall be in the form of Form 5 in the Schedule to these Rules.
(10) At the discretion of the Tribunal, the strict rules of evidence shall not apply at a hearing before the Tribunal.
Commencement Information
I4Rule 13 in force at 14.1.2008, see rule 1
14.—(1) The Tribunal may in its discretion, in respect of a whole case or of any particular fact or facts, proceed and act upon evidence given by Statement.
(2) Every Statement upon which any party proposes to rely shall be filed with the Clerk and served on all other parties to the application in question no later than 21 days before the date fixed for the hearing of the application together with a notice in the form of Form 6 in the Schedule to these Rules.
(3) Any party on whom a notice has been served under paragraph (2) and who requires the attendance, at the hearing, of the witness in question shall, no later than 9 days before the date of the hearing require, in writing, the other party to produce the witness at the hearing.
(4) If no party requires the attendance of a witness in accordance with the provisions of this rule, the Tribunal may accept the Statement in question in evidence.
(5) If a witness who has been required to attend a hearing in accordance with the provisions of this Rule fails to do so, the onus shall be on the party seeking to rely on the Statement of that witness to show why the Statement should be accepted in evidence.
(6) If any party intends to call as a witness any person who has not produced a Statement, he must, no later than 10 days before the date fixed for the hearing, notify the Clerk and any other party to the proceedings of his intention and forthwith serve a copy of a written proof of evidence on the other party and lodge five copies of the proof with the Clerk.
Commencement Information
I5Rule 14 in force at 14.1.2008, see rule 1
15.—(1) In any proceedings before the Tribunal which relate to the decision of another court or tribunal, the following rules shall apply if it is proved that the decision relates to the relevant party to the application.
(2) A conviction for a criminal offence may be proved by the production of a certified copy of the certificate of conviction relating to the offence and proof of a conviction shall constitute evidence that the person in question was guilty of the offence. The findings of fact upon which that conviction was based shall be admissible as conclusive proof of those facts save in exceptional circumstances.
(3) The finding of and penalty imposed by any tribunal in or outside England and Wales exercising a professional disciplinary jurisdiction may be proved by producing a certified copy of the order, finding or note of penalty in question and the findings of fact upon which the finding in question was based shall be admissible as proof but not conclusive proof of the facts in question.
(4) The judgment of any civil court in any jurisdiction may be proved by producing a certified copy of the judgment and the findings of fact upon which that judgment was based shall be admissible as proof but not conclusive proof of those facts.
Commencement Information
I6Rule 15 in force at 14.1.2008, see rule 1
16.—(1) The hearing of an application shall take place at such time and place as shall be considered by the Tribunal to be appropriate and convenient.
(2) If the Tribunal is satisfied that notice of the hearing was served on the respondent in accordance with these Rules, the Tribunal shall have power to hear and determine an application notwithstanding that the Respondent fails to attend in person or is not represented at the hearing.
(3) At the conclusion of the hearing, the Tribunal shall make a finding as to whether any or all of the allegations in the application have been substantiated whereupon a clerk shall inform the Tribunal whether in any previous disciplinary proceedings before the Tribunal allegations were found to have been substantiated against the Respondent.
(4) The Respondent shall be entitled to make submissions by way of mitigation in respect of any sanction (including any order for costs) which the Tribunal may impose.
(5) The Tribunal may announce its decision and make an order at the conclusion of the hearing or may reserve its decision for announcement at a later date. In either case the announcement shall be made in public and in either case the Tribunal shall as soon as is practicable deliver to the applicant and to the respondent its detailed written findings which shall include its reasons and conclusions upon the evidence before it.
Commencement Information
I7Rule 16 in force at 14.1.2008, see rule 1
17.—(1) An order made under rule 16(5) shall be signed by a member of the Tribunal upon the announcement of the decision and shall, subject to paragraph (2) be filed forthwith with the Law Society.
(2) The Tribunal may suspend the filing of the Order if it appears to the Tribunal that there is good reason to do so, in which event the Order shall not take effect (including any suspension from practice) until it is filed with the Law Society.
Commencement Information
I8Rule 17 in force at 14.1.2008, see rule 1