Closed Consultation
Decision-making criteria
11 May 2009
The deadline for submission of responses to this consultation paper was 8 May 2009. Analysis of consultation responses is in progress.
The information that appears below is for reference purposes only.
In all our work, we operate in accordance with the government's Good Regulation principles, aiming to ensure that our decisions are proportionate, accountable, consistent, transparent and targeted.
Principles of decision making form the basis of all our decisions. These principles were approved by our board on 24 October 2006. Principle 1 requires that our decisions should be based on the application of guidelines and criteria. The criteria are designed to be specific to the various categories and types of decision made.
This consultation is the first in a series inviting you to comment on criteria applied to our decisions. It is aimed at all those interested in the provision and regulation of legal services, including consumers.
The criteria are likely to affect those who are already regulated by the SRA, those seeking to become solicitors, registered European lawyers, registered foreign lawyers, managers of recognised bodies, recognised bodies or those seeking to acquire an interest in or be employed or remunerated by those authorised by the SRA.
From time to time, we will also publish general policies which may be relevant to decision making, and these will be reflected in the criteria.
This consultation invites you to comment directly on the application of criteria specific to decisions listed below; we have not prepared a discussion paper. We already use the published criteria. Your comments will be useful to us in deciding if any of the criteria require improvement to enable them to be understood.
Decision types
Click on a decision type to view the corresponding criteria.
- Give notice that intervention powers have arisen
- Issue a letter of advice
- Make an order to examine files
- Restore an individual's name to the roll
- Remove an individual's name from the roll
- Keep an individual's name on the roll
- Waive the requirement to deliver an accountant's report
- Issue a certificate of good standing/attestation
- Refer conduct to Solicitors Disciplinary Tribunal
- Order preventing non-lawyers from being employed or remunerated
- Issue a settlement of regulatory and disciplinary case
- Give discretion to the SRA when issuing a solicitor's next practising certificate
The criteria above have been subsequently amended or removed, please visit our archive of criteria to view historical versions of criteria.