SRA Handbook

Appendix 3

Version 21 of the Handbook was published on 6 December 2018. For more information, please click "History" above.

Appendix 3

Disqualification and Disqualification Review Criteria (Rules 3.4 and 9.5)

1

In this appendix, the term "misconduct" shall mean conduct or behaviour resulting in an SRA finding.

2

This criteria is to be used in conjunction with the tests set out at rules 3.3 and 9.4.

3

In deciding whether to disqualify a person or to bring a disqualification to an end, the SRA will take into account all relevant circumstances, including that the aim of any disqualification should be:

(a)

for the disqualification to deter the regulated person or other persons from engaging in similar conduct in the future; or

(b)

to protect the public from a regulated person.

4

Where there has been misconduct, the following support a decision to disqualify:

(a)

the conduct of the regulated person has caused significant loss or harm;

(b)

the regulated person has abused a position of trust;

(c)

the conduct of the regulated person has caused harm to or to the interests of a vulnerable person;

(d)

the conduct of the regulated person was motivated by any form of discrimination;

(e)

the conduct was deliberate, pre-meditated, repeated or reckless;

(f)

the conduct has put the public confidence in the regulation of the profession at risk; or

(g)

the conduct of the regulated person indicates that the person is unsuitable for the role being undertaken.

5

Where there has been misconduct, the following support a decision not to disqualify:

(a)

the conduct was committed as a result of a genuine mistake or misunderstanding;

(b)

the regulated person has cooperated fully with the SRA;

(c)

the conduct was trivial; or

(d)

there is a low likelihood of repetition of the conduct.

6

In deciding the appropriate duration of a disqualification without review in accordance with rule 9.2, the SRA shall take account of the factors set out at paragraphs 4 and 5 above.

7

The following, collectively, support a decision to bring a disqualification to an end:

(a)

the disqualification has achieved any intended deterrent effect;

(b)

to do so would not present a risk to the public, which could include consideration of any complete and demonstrable rehabilitation on the part of the regulated person; and

(c)

to do so would not have an adverse impact upon the public confidence in the regulation of the profession.

8

An absence of any one of the factors set out at paragraph 7(a)-(c) would support a decision not to bring a disqualification to an end.

9

The factors set out above are not exhaustive and do not prevent the SRA from taking into account other factors that it considers to be relevant.

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