Closed Consultation

Character and suitability guidelines

11 July 2007

This consultation is now closed.

During 2006, the then Law Society Regulation Board (now the SRA Board) approved draft guidelines for assessing the character and suitability of anyone seeking to become a solicitor. Following successful piloting of the guidelines, the SRA Board in February 2007 launched a three-month public consultation to seek views on its approach. The consultation period ended on 27 April.

The board has considered the results of the consultation; you can download an analysis of responses below.

Broadly, consultation respondents considered that the criteria used by the SRA to develop the guidelines were correct, although helpful observations and suggestions for improvement were offered.

The board has decided that the SRA will continue to use the guidelines in their current form. The guidelines are now available alongside other SRA online information for individuals who wish to qualify as a solicitor.

The board has also decided to consult again shortly on the continuing merits of requiring the character and suitability of would-be solicitors to be assessed both prior to their commencement of the Legal Practice Course and immediately prior to their admission to the roll of solicitors.

Download an analysis of consultation responses.
Review the consultation questionnaire.

Questionnaire

(The questionnaire is included below for information purposes only. The deadline for submission of responses was 27 April 2007.)

Introduction

The Solicitors Regulation Authority (SRA) must ensure that an individual admitted as a solicitor has the honesty, integrity and professionalism expected by the public and members of the profession, and does not pose a risk.

The tests applied to determine character and suitability

Question 1—Honest and trustworthy

Question 1.1

The SRA will not have confidence that the applicant is honest and trustworthy, unless there are exceptional circumstances (see Question 1.2), if the applicant has convictions for offences involving dishonesty and/or deceived or sought to deceive others, e.g. academic authorities or employers.

Are these the right criteria?

—Convictions for offences of dishonesty

—Deception or seeking to deceive others

Are there any other criteria for determining honesty and trustworthiness against which applicants should be measured?

Please state what they are and your reasons.

Question 1.2—Exceptional circumstances

In considering exceptional circumstances, the SRA will look at the seriousness of the offence, the length of time since the offence occurred and evidence of subsequent rehabilitation.

The older and less serious the offence, the greater the likelihood that we will regard the applicant as sufficiently rehabilitated to be admitted as a solicitor.

There may, however, be offences that are so serious as to preclude admission for life.

Is this the correct approach?

Please give your reasons.

Are any offences so serious as to preclude admission for life?

If so, what are they?

Question 1.3—Evidence in support of exceptional circumstances

Against each of the items, please state whether you agree or disagree that the applicant should be expected to provide such evidence.

—At least one independent account of the event(s), including sentencing remarks where a criminal conviction is being considered

Agree
Disagree

—References from at least two independent people who know the applicant well and are familiar with the matters being considered. Ideally one of the references should be provided by a solicitor of good standing

Agree
Disagree

—Evidence of rehabilitation, e.g. probation reports, references from employers

Agree
Disagree

—The applicant's account of the events and attitude towards them

Agree
Disagree

Should any other evidence be required? If so, please state what it is, together with your reasons.

Is there any other evidence that might be required to help provide confidence in the applicant's honesty and trust worthiness? Please state what it is, and your reasons.

Question 2—Compliance with legal and regulatory requirements

Question 2.1

The SRA will not have confidence that the applicant is able and/or willing to comply with legal and regulatory requirements unless there are exceptional circumstances (see Question 2.1) if the applicant has been convicted of a criminal offence (including spent convictions); has failed to disclose information to a regulatory body when required to do so, or has provided false or misleading information; has breached the requirements of a regulatory body; has failed to comply with the reasonable requests of regulatory body.

Are these the right criteria?

—Conviction for a criminal offence

—Failure to disclose information to a regulatory body when required to do so, or provided false or misleading information

—Breaching the requirements of a regulatory body

—Failure to comply with reasonable requests of a regulatory body

Please give your reasons.

Are there any other criteria for determining compliance with legal and regulatory requirements against which applicants should be measured? Please state what they are and your reasons.

Question 2.2—Exceptional circumstances

In considering exceptional circumstances, the SRA will look at the seriousness of the incident, the length of time since it occurred and evidence of subsequent rehabilitation.

The older and less serious the incident, the greater the likelihood that we will regard the applicant as sufficiently rehabilitated to be admitted as a solicitor.

There may however, be incidents that are so serious as to preclude admission for life.

Is this the correct approach?

Please give your reasons.

Are any offences so serious as to preclude admission for life?

If so, what are they?

Question 2.3—Evidence required to show there are exceptional circumstances

Against each of the items, please state whether you agree or disagree that the applicant should be expected to provide such evidence.

—Certificates of standing or statements from the relevant regulatory body or disciplinary tribunal and any limitations on the applicant's rights to practise/freedom to act

Agree
Disagree

—The applicant's explanation for his or her failure to comply

Agree
Disagree

Should any other evidence be required? If so, please state what it is, together with your reasons.

Is there any other evidence that might be required to help provide confidence in the applicant's ability and/or willingness to comply with legal and regulatory requirements? Please state what it is, and your reasons.

Question 3—Ability to manage responsibly financial affairs

Question 3.1

The SRA will not have confidence that the applicant is able to manage his or her own and clients' financial affairs, unless there are exceptional circumstances (see Question 3.2), if the applicant has been made bankrupt, has entered into individual voluntary arrangement or has unmanageable debts arising from the applicant's recklessness, incompetence or dishonesty; the applicant has deliberately sought to avoid responsibility for their debts; there is evidence of dishonesty in relation to the management of finances.

Are these the right criteria?

—The applicant has been made bankrupt, has entered into individual voluntary arrangement or has unmanageable debts arising from the applicant's recklessness, incompetence or dishonesty.

—The applicant has deliberately sought to avoid responsibility for their debts.

—There is evidence of dishonesty in relation to the management of finances.

Are there any other criteria for determining ability to manage financial affairs against which applicants should be measured? Please state what they are and your reasons.

Question 3.2—Exceptional circumstances

In considering exceptional circumstances, the SRA will look at the seriousness of the bankruptcy/debt, the length of time since it occurred and evidence of subsequent rehabilitation, including the extent to which creditors have been repaid.

The older and lower the level of indebtedness, the greater the likelihood that we will regard the applicant as sufficiently rehabilitated to be admitted as a solicitor.

Is this the correct approach?

Please give your reasons.

Question 3.3—Evidence required to show there are exceptional circumstances

Against each of the items, please state whether you agree or disagree that the applicant should be expected to provide such evidence.

—Credit check information

Agree
Disagree

—The applicant's explanation of event, corroborated where possible

Agree
Disagree

—Actions taken to clear any debts

Agree
Disagree

Please give your reasons.

Is there any other evidence that might be required to help provide confidence that the applicant can manage responsibly financial affairs? If so, please state what it is, together with your reasons.

Question 4—Diminishing public confidence in the solicitor’s profession

Question 4.1

The SRA will assume that there is a risk that public confidence in the profession would be diminished by the admission of an individual who had served a prison sentence, who remains on licence or who is or has been listed on the sexual offences register; the admission of an individual who had misused his or her position, particularly if associated with the provision of legal services, to obtain any form of improper advantage; the admission of an individual who had been responsible for dishonest or violent behaviour; the admission of an individual who had been convicted of offences associated with obstructing the course of justice; the admission of an individual who had been convicted of a racially motivated offence.

Are these the right criteria?

—An individual who had served a prison sentence, who remained on licence or who was listed on the sexual offences register

—An individual who had been responsible for dishonest or violent behaviour

—An individual who had been convicted of offences associated with obstructing the course of justice

—An individual who had been convicted of a racially motivated offence

Are there any other circumstances in which public confidence in the solicitors' profession would be diminished against which applicants should be measured? Please state what they are and your reasons.

Question 4.2—Exceptional circumstances

In considering exceptional circumstances, the SRA will look at the seriousness of the incident and the length of time since it occurred. The older and less serious the misbehaviour, the greater the likelihood that we will regard the applicant as sufficiently rehabilitated to be admitted as a solicitor.

Is this the correct approach?

Please give your reasons.

Question 4.3—Evidence required to show there are exceptional circumstances

Against each of the items, please state whether you agree or disagree that the applicant should be expected to provide such evidence.

—Independent accounts of the convictions and behaviours that have given rise to the concerns, e.g. sentencing remarks

Please give your reasons.

Is there any other evidence that may be required to help provide confidence that public confidence will not diminish in the solicitor's profession? If so, please state what it is, together with your reasons.

Question 5—Risk that the individual's admission could cause harm to members of the public, the profession or him or herself

Question 5.1

In the absence of exceptional circumstances (see Question 5.2) the SRA will consider there is a risk that the individual's admission could cause harm to members of the public, the profession or him or herself if there is evidence that the applicant is or has been dependent on alcohol or other drugs; that the applicant's mental health or exposure to stressful situations can seriously impair his or her judgement, and/or ability to manage his or her work and/or professional relationships; that the applicant has been violent with colleagues or clients.

Are these the right criteria?

—The applicant is or has been dependent on alcohol or other drugs

—The applicant's mental health or exposure to stressful situations can seriously impair his or her judgement, and/or ability to manage his or her work and/or professional relationships

—The applicant has been violent with colleagues or clients

Are there any other criteria to help determine that there is a risk that the individual's admission could cause harm to members of the public, the profession or him or herself, against which applicants should be measured? Please state what they are and your reasons.

Question 5.2—Exceptional circumstances

In considering exceptional circumstances, the SRA will look at the seriousness of the incident(s) and the length of time since it occurred. The older and less serious the deviance, the greater the likelihood that we will regard the applicant as sufficiently rehabilitated to be admitted as a solicitor.

Is this the correct approach?

Please give your reasons.

Question 5.3—Evidence required to show there are exceptional circumstances

Against each of the items, please state whether you agree or disagree that the applicant should be expected to provide such evidence.

—Recent and medical reports including psychiatric reports where relevant

—Accounts from employers and other parties

—A statement from the applicant

—Any other evidence that might be indicative of recurrent illness or dependency concerns

Please give your reasons.

Is there any evidence that may be required to help provide confidence that the applicant is unlikely to cause harm to members of the public, the profession or himself or herself.

Downloadable documents

Character and suitability guidelines consultation: Analysis of responses (PDF 36K)

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