Applications, hearings and findings at the SDT

Application process

An application to the SDT will be made in the form specified by the rules. If the application is made by the SRA they will collect such further information as is necessary and will compile a Statement of Allegations whihc will be sent to the SDT. The application will be lodged with the Clerk to the Tribunal who will determine whether or not there is a prima facie case to answer. If there a case to answer then a “pre-listing day” date will be set and the respondent will be advised of that date and served with copies of the application and supporting papers. The pre-listing day is when the respondent will enter a plea, dates to be avoided for the hearing are submitted and the estimated length of the hearing is determined.

The procedure at the SDT is governed by the Solicitors (Disciplinary Proceedings) Rules 2007

The Hearing

Normally a hearing before the SDT will held in public although the Tribunal does have the power to consent to all or part of the case being heard in private.

In order to ensure that the actual hearings are as short as possible, often Tribunal members will read the allegations in advance of the hearing and the parties to the hearing will be encouraged to agree as much as possible before the hearing takes place. In order to help expedite matters further, the SDT rules provide that the applicant can require the respondent to indicate which matters of fact are disputed. All applicants are encouraged to give this indication so as to avoid increased costs.

Either party may appear before the tribunal or may appoint a person to represent them. The SRA/Law Society will normally use solicitors in private practice selected from a panel to make the applications for them and to appear on their behalf at the hearing. In appropriate cases Counsel may be instructed to appear for either party.

It is open to either party to call witnesses and evidential procedures are similar to those to be fund in the High Court. Strict rules of evidence do not, however, apply.

The respondent need give no formal answer to any allegations that are made, although it is usually advisable for at least a written statement to be submitted so that if the Tribunal is reading through the papers prior to the hearing then they will have an idea about the respondents case. Indeed, in a complex case the Tribunal may even order that a detailed answer be provided so that the issues may be identified. Parties are also expected to disclose in good time all documents upon which they intend to rely and to co-operate with each other in relation to evidence and statements.

If the respondent fails to appear at the hearing the SDT may deal with the matter in his or her absence, although a re-hearing may be possible if there was a good reason for the non-attendance.

Hearings may be adjourned or postponed provided that a valid reason exists. The SDT has issued guidelines as to when such a request for an adjournment would usually not be accepted and these include:

• the existence or possibility of other proceedings arising from the same facts unless there is a genuine chance that those other proceedings would be prejudiced,
• conflicting appointments,
• lack of readiness,
• illness evidenced only by a doctor’s sick note, and
• financial difficulties

Findings

Normally the SDT will announce its findings at the end of the hearing and, if there is a finding against the respondent, will usually give details of the sanction it intends to impose. Detailed findings and reasons may be provided at a later date – although usually within 8 weeks. Any order which is made takes effect as soon as it is filed with the Law Society – thus if there is a finding leading to a suspension or striking off there may need to be a stay pending an appeal.

Details of any findings and orders will be published on the SRA website.