Decision making

Introduction and framework

We make many decisions in the course of our work, ranging from final regulatory ones, such as imposing a fine and interim ones, such as deciding to open an investigation. Ensuring that we make fair, consistent and proportionate decisions is key to our role in protecting consumers of legal services and supporting the operation of the rule of law.

Our decision making is underpinned by our overarching decision making framework and enforcement strategy.

We are in the course of revising our Enforcement Strategy and our guidance on the sanctions and controls we can impose. We are aiming to consult on this in 2017. In the meantime please see our current enforcement strategy.

Guidance

Our guidance is intended to help our staff make decisions on a number of key areas. These are around our core functions. We also set out guidance on some more general topics, such as dishonesty. In some cases the guidance replaces our previous published policies in these areas.

Schedule of delegation

The delegation section sets out who can make decisions in the SRA as set out in our schedule of delegation.

Procedures

The process section sets out a summary of some of our key decision making procedures.


Please use www.sra.org.uk/decisionmaking to link to this page.

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