Annexes

2. Under the Legal Services Act 2007, the Legal Services Board is responsible for overseeing the legal services approved regulators in England and Wales.  


3. Two separate bodies are responsible for regulating solicitors and barristers:  
• The Solicitors Regulation Authority (‘SRA’) – an independent body established by the Law Society of England and Wales to provide regulation of solicitors and law firms in England and Wales. Solicitors must have a practising certificate issued by the SRA to be authorised to provide legal advice.  
• The Bar Standards Board (‘BSB’) – the independent regulatory arm of the Bar Council, responsible for regulating barristers in England and Wales. To be authorised to practise as a barrister the BSB Handbook requires persons to obtain an annual practising certificate.  

4. Two bodies are responsible for solicitors and advocates:  
• The Law Society of Scotland– the professional body regulating solicitors in Scotland. It is responsible for issuing practising certificates for appropriately qualified members under the Solicitors (Scotland) Act 1980.  
• The Faculty of Advocates – a professional body to which qualified lawyers who have been admitted to the office of ‘advocate’ in Scotland belong. The Faculty of Advocates regulates advocates under powers delegated to it by the Court of Session under the Legal Services (Scotland) Act 2010. 

5. Two bodies are responsible for solicitors and barristers:  
• The Law Society of Northern Ireland – the professional body responsible for the regulation of solicitors in Northern Ireland. It is responsible for issuing certificates to practise for appropriately qualified members. This role is enshrined in law under the Solicitors (Northern Ireland) Order 1976 and Solicitors Practice Regulations 1987 (as amended).  
• The Professional Conduct Committee – the professional body responsible for regulating barristers in Northern Ireland, established by the Bar Council of Northern Ireland. It is responsible for setting the standard of conduct for barristers, through the Bar Code of Conduct, and regulating barristers in Northern Ireland.  

1. There is no statutory definition of a medical defence organisation (MDO). However, the MPTS automatically recognises several MDOs as professional bodies. These are: 
• The Medical Defence Union  
• The Medical Protection Society  
• The Medical and Dental Defence Union of Scotland  

2. Each of these organisations are mutual organisations* who provide indemnity and advice on medico-legal matters.  

*This means the organisation is owned by, and run for, the benefit of its members, who are actively and directly involved in the business.  

3. Section 2 of the Trade Union and Labour Relations (Consolidation) Act 1992 empowers a Certification Officer to keep a list containing the names of all independent trade unions that meet the statutory definition of a trade union and have applied to be listed.


4. Any trade union on this list is recognised as a relevant professional organisation for the purpose of this guidance. This includes the British Medical Association.  

1. Chartered legal executives are trained legal professionals who specialise in a particular area of law. They are regulated in England and Wales by the Chartered Institute of Legal Executives, a body set up under the Legal Services Act 2007. For the purposes of this guidance, possessing the qualifications and experience of being a chartered legal executive is sufficient to be considered suitable for representing a PA or AA.  

2. When considering whether a solicitor or counsel registered to practise and regulated outside of England and Wales, Scotland or Northern Ireland can be automatically recognised as being a suitable individual, Section 89 of the Courts and Legal Services Act 1990 provides a useful starting point.  


3. The Act uses the term ‘foreign lawyer’ and defines such a lawyer as “a person who is not a solicitor of England or Wales or a barrister but who is a member, and entitled to practise as such, of a legal profession regulated within a jurisdiction outside of England and Wales.” However, for the purpose of this guidance, the references made to England and Wales should be read as including Scotland and Northern Ireland.  


4. An individual who does not meet the legal representative requirements set out in Annex A, and who wishes to rely on the above definition to act as a suitable individual, must be able to provide confirmation from the appropriate regulator that they are entitled to practise as a solicitor or counsel and that they are a member of a legal profession regulated within the relevant jurisdiction.  


5. The tribunal may be assisted by the list of jurisdictions and professions recognised by the SRA as meeting the criteria for registration with them as a registered ‘foreign lawyer’. 


6. It is expected that a lawyer within the professions listed here ought to be able to provide the required proof.  


7. If the jurisdiction and/or profession are not on this list, and the tribunal is not satisfied that the person meets these requirements, then a full application can be made for that person to represent the PA or AA as a suitable individual.  

8. The following factors may indicate a person is not a suitable individual to provide representation at a hearing: 
   
   1. They have been removed, or suspended, from a professional register, or their registration is subject to conditions, due to concerns about their fitness to practise which may impact on their ability to provide suitable representation. 
   2. They have been refused restoration to a professional register or had their licence revoked or refused for a professional activity, due to concerns about their fitness to practise which may impact on their ability to provide suitable representation.  
   3. They have been barred from working with vulnerable adults and/or children by the Independent Safeguarding Authority or Disclosure Scotland or equivalent overseas body. 
   4. They have been the subject of an adverse finding, including in civil or criminal proceedings, that raises a question about their honesty and/or integrity.  
   5. They have been subject to any form of civil restraint order or have been found to be a vexatious litigant.  
   6. They have been subject to any other justified complaint relating to regulated activities or are currently the subject of proceedings of a regulatory or criminal nature or have been notified of any potential proceedings or any investigation which may lead to those proceedings, where the allegation is serious* and likely to impact on their ability to provide suitable representation.  
   7. They have previously had their right to represent a PA or AA at a tribunal hearing withdrawn due to having disrupted the proceedings.  
   8. They have had a previous application to act as a suitable individual for the same PA or AA refused and the circumstances leading to that assessment have not materially changed. 

* Serious allegations include, but are not limited to, dishonesty, blackmail, sexual or violent offences, human trafficking and hate crime. 

2. Being involved in regulatory and/or disciplinary procedures as a PA or AA or a witness can lead to individuals experiencing feelings of upset, frustration and negative ways of thinking about the process. However, these can also be signs of emotional distress and even illness, especially when this is serious or persistent. 

3. Depression and low mood can severely affect how an individual functions. People affected by depression can sometimes find it very difficult to formulate and express thoughts and ideas, for example they may take long pauses, mumble, be very quiet or hesitant in their way of speaking. 


4. Sometimes individuals who are depressed or anxious feel that they are detached from their situation as if it isn’t real. Although it might appear as if an individual is being evasive, rude or inappropriately sarcastic or jovial, this could also be a sign that they are unwell. 

5. People experiencing depression sometimes do not feel that they have enough energy or concentration to be able to respond to correspondence or deadlines. They may avoid official correspondence or even withdraw from contact with almost everyone they know because they feel overwhelmed by such encounters.  


6. These behaviours may be exhibited at the case management stage, where the PA or AA’s particular health condition or vulnerability prevents or interferes with their ability to engage in the case management process. Where a PA or AA fails to comply with case management directions and the tribunal is presented with evidence that suggests there is an underlying health condition, the tribunal will need to carefully weigh all the available information when determining whether to exercise their powers under Rule 32. 


7. Anxiety and depression can cause an individual to experience significant ‘biological’ changes and these may be reported by the individual or be reflected in the content of correspondence that is placed before the tribunal.  Some types of mental health condition can lead to very rapid ‘highs and lows’ of mood and can make communication unpredictable. People with, for example, bipolar disorder can sometimes seem elated, overly talkative or irritable and may express very grand ideas about their plans or their own importance. Sometimes in the hypomanic phase of a bipolar illness, because thoughts are racing, a person may send multiple communications where the ideas are difficult to follow or seem only loosely connected. 

8. Some severe types of mental health condition can lead to an individual experiencing disordered thoughts and a person might make unusual connections between themselves and events to which they have no obvious link. This might also include fixed, unshakeable beliefs that seem illogical or are plainly untrue, but the person believes them; these are known as delusional beliefs. 

9. Whilst certain behaviours can be related to a health condition, they can also arise generally in stressful and/or upsetting situations, be the impact of acute stress or the side-effect of medication that the individual is taking. In each case, the tribunal will need to weigh up all the available evidence, including whether the behaviour, or combinations of behaviour, being exhibited create a cause for concern about the individual’s health.  
   
   
10. Consideration should be given to how to support the individual during the hearing and if the individual is a PA or AA, where necessary, reflecting on whether the behaviours exhibited may indicate a health condition which might lead the tribunal to consider if a health assessment would be beneficial before the hearing proceeds further. 
    
    
11. It is important for the tribunal to consider the views of the individual who may be struggling or unwell when considering whether they are vulnerable or whether any adjustments or additional support may be needed. Often the individual will have insight into their own circumstances and the extent to which any matters affect their ability to perform the functions of a witness and/or to participate effectively in the hearing.  
    
    
12. However, where the individual concerned is the PA or AA and they demonstrate a lack of insight into the impact of a possible health condition, the tribunal may need to consider whether there is sufficient cause for concern that leads them to conclude that it would be appropriate to adjourn for an assessment, further information or reports. 

Move to section two: interim measures tribunal hearings