Schedule of delegations

Approved by the SRA Board on 21 July 2014.

About the schedule

This Schedule contains delegations and authorisations by the Board of the Solicitors Regulation Authority, including delegations and authorisations made pursuant to the Law Society General Regulations and section 79 of the Solicitors Act 1974. The fact that a particular decision or activity is included or referred to in this Schedule is not an acknowledgment that it requires delegation or authorisation as a matter of law. The Board authorises the staff and managers of the SRA generally to conduct its day-to-day operations, to make decisions and to undertake other activities that do not require delegation or authorisation as a matter of law. For the avoidance of doubt, this includes, but is not limited to, the issuing of informal guidance such as warnings, decision-making and other criteria, warning cards, case studies and frequently-asked questions. 

Each numbered paragraph contains a function / power followed by an individual or individuals (e.g. a job title or job role) or sub-committee to whom the Board has delegated this to. Some delegations include details of restrictions upon the delegation made. In this Schedule:

  • references to rules, regulations or statutory provisions includes any subsequently amended version of those rules, regulations or statutory provisions from time to time in force;
  • references to a job title or role includes individuals undertaking the same role in the future under a different title;
  • references to a directorate, function or unit includes a directorate, function or unit fulfilling the same role in the future under a different title;
  • an activity or power delegated under a specific section of the schedule shall not limit the persons to whom delegation can be made within the SRA;
  • references to a particular activity or function includes any other necessarily related activities or functions;
  • 'Adjudication' means an Adjudicator or the Panel of Adjudicators Sub-Committee or the Chief Adjudicator;
  • 'Director(s)' includes all Executive Directors and all Directors and the Chief Executive of the SRA;
  • 'Heads' includes all persons described as 'Head' of a function in their job title;
  • 'Licensed body' includes any body applying to become a licensed body;
  • 'Non lawyer managers' refers to non lawyer managers for the purposes of the SRA Recognised Bodies Regulations;
  • 'Recognised body' includes a legal services body and any body applying to become a recognised body / legal services body;
  • 'Supervision' includes the Regulatory Investigations and Continuity Units;
  • 'Technical Adviser(s)' includes Senior Advisers and Casework Advisers; and
  • 'Supervisor(s)' includes Entry Level Supervisors.

Where a delegation is made to a staff category, the delegation is made to the individuals set out in the table below:

Staff Category Description

A1

Operations Officers, Exceptions Officers, Senior Exceptions Officers, Team Managers, Exceptions Managers, Operations Managers, Technical Advisers, Policy Co-ordinator and Director of Authorisation (in Authorisation Directorate) and Administrative / Administration Officers, Team Members and Team Coordinators in the Information Directorate

A2

Exceptions Officers, Senior Exceptions Officers, Team Managers, Exceptions Managers, Operations Managers, Technical Advisers, Policy Co-ordinator and Director (in Authorisation Directorate) and Administrative / Administration Officers, Team Members and Team Coordinators in the Information Directorate

A3

Team Managers, Exceptions Manager, Operations Manager, Technical Advisers, Policy Co-ordinator and Director (in Authorisation Directorate)

A4

Exceptions Manager, Operations Manager, Technical Advisers, Policy Co-ordinator and Director (in Authorisation Directorate)

A5

Operations Manager, Exceptions Manager and Director (in Authorisation)

ET1

Policy Executives, Quality Executives, Senior Policy Executives, Policy Manager, Quality and Standards Manager and Director (in Education and Training)

L1

Legal Advisers, Senior Legal Advisers, Senior Technical Advisers, Team / Case Managers, Legal Policy Manager, Head of Legal and Enforcement, Head of Legal Policy and Advice, Director of Enforcement, Chief Adjudicator, Executive Director (in Legal and Enforcement and Client Protection Directorate)

L2

Head of Legal and Enforcement, Head of Legal Policy and Advice, Director of Enforcement and Chief Adjudicator, Executive Director (in Legal and Enforcement and Client Protection Directorate)

L3

Head of Legal and Enforcement, Head of Legal Policy and Advice, Director of Enforcement and the Executive Director (in Legal and Enforcement and Client Protection Directorate)

S1

Supervisors, Relationship Managers, Caseworkers, Technical Advisers, Team Leaders and Supervision Managers (namely Manager Firm-based Supervision, Manager Thematic Risk, Manager City and Global and Manager Large Firms) in Supervision and Director in Supervision

S2

Team Leaders, Supervision Managers, Technical Advisers and Director in Supervision

S3

Supervision Managers and Director in Supervision

Schedule

General

New No. Delegation Level and restrictions

1

All powers exercisable by the SRA except powers of intervention

Chief Executive

2

To make findings of misconduct (including for the purposes of the SRA (Cost of Investigations) Regulations and the SRA (Disciplinary Procedure) Rules and to issue warnings

Adjudication, Directors and Heads

Supervision staff, Category S3  

3

To direct reconsideration of a decision pursuant to any SRA rules, regulations or policy1

Adjudication, Directors and Heads

Supervision staff, Category S3 but only with the consent of the person affected by the decision

Authorisation staff, Category A4 but only with the consent of the person affected by the decision

4

To give notice and intervene in complaints of undue delay in respect of a recognised body (such as pursuant to paragraph 3 of Schedule 1 of the Solicitors Act 1974)

Adjudication, Directors and Heads

Supervision staff, Category S2

5

To authorise the referral of a matter to the Office of Fair Trading, pursuant to section 25 of the Consumer Credit Act 1975 (fitness concerns)

Adjudication, Directors and Heads

Supervision staff, Category S2

Investigations Manager and Intelligence Manager (in Intelligence and Investigation)

Technical Advisers

6

To authorise the disclosure of confidential information in the public interest, and pursuant to legal requirements, to law enforcement agencies, regulators or those who exercise regulatory functions and to other persons with a legitimate interest in receiving the information, including but not limited to disclosure pursuant to sections 32(4) and 33A(2) of the Solicitors Act 1974 and under any SRA rules or regulations . (For the avoidance of doubt, this does not restrict the incidental disclosure of information by SRA staff properly carrying out their functions, such as the seeking of evidence for investigations, authorisations, supervision or intelligence gathering.)

Adjudication, Directors and Heads

Technical advisers

Supervision staff, Category S3

Authorisation staff, Category A3

Legal staff, Category L1

Investigation Manager, Intelligence Manager and Director of Investigation and Intelligence (in Intelligence and Investigation)

Intelligence Manager, Intelligence Technical Advisers and Fraud Intelligence Officers

7

To notify a third party of a decision made under the SRA Practising Regulations or the SRA Recognised Bodies Regulations or SRA Authorisation Rules

Adjudication, Directors and Heads

Supervision staff, Category S2

Authorisation staff, Category A3

Education and Training staff, Category ET1  

Investigations Manager, Intelligence Manager and Technical Advisers (in Intelligence and Investigation)

8

To authorise inspection of a file in proceedings in bankruptcy pursuant to section 83 of the Solicitors Act 1974

Adjudication, Directors and Heads

Supervision staff, Category S3

Authorisation staff, Category A3

9

To oppose admission to the Roll pursuant to section 3(2) of the Solicitors Act 1974

Directors and Heads

10

To approve forms and other documentation not otherwise specifically delegated in this Schedule

Directors and Heads

Authorisation staff, Category A5

Client Protection – the compensation fund, statutory trusts and indemnity insurance

New No. Delegation Level and restrictions

11

To make decisions in respect of payment or rejection of claims on the Compensation Fund (up to the value prescribed)

Operational from 16 April 2013

Panel of Adjudicators Sub Committee – no limit

A single Adjudicator – up to £500,000

Senior Advisers, Claims Management and Recoveries Manager, Technical Manager and Director of Client Protection (in Client Protection) – up to £100,000

Claims Advisers, Technical Advisers (in Client Protection) up to £10,000

11A

To make decisions in respect of payment or rejection of claims on the Compensation Fund (up to the value prescribed) where the proposed payment is an urgent interim measure to protect the interests of an applicant or potential applicant to the fund

Adjudication, Executive Directors and Director of Client Protection – no limit

Senior Advisers and Technical Manager (in Client Protection) – up to £500,000

Technical Advisers and Claims Advisers (in Client Protection) – up to £250,000

12

To authorise release of funds from the Compensation Fund in an emergency

Adjudication and Executive Directors

Director of Client Protection

Any two of: Team Managers in Claims Management and Recoveries, Senior Advisers, Claims Management and Recoveries Manager, Technical Manager (in Client Protection)

13

To give an undertaking on behalf of the Compensation Fund to return an overpayment from a Statutory Trust Account

Team Managers in Claims Management and Recoveries, Senior Advisers, Claims Management and Recoveries Manager, Technical Manager and Director (in Client Protection)

13A

To make decisions in respect of payment from the Compensation Fund to a Statutory Trust Account to return an overpayment

Adjudication - no limit

Senior Adviser, Technical Manager and Director of Client Protection (in Client Protection) up to £500,000

Technical Advisers and Claims Advisers (in Client Protection) - up to £250,000

14

To make any trustee decision (without limit) in respect of statutory trust monies

Panel of Adjudicators Sub Committee

In cases of urgency, any two of: Executive Directors and Director of Client Protection

15

To make any trustee decision to make payments up to the value prescribed in respect of statutory trust monies derived from a reconciled and intact client and office account (including for the avoidance of doubt designated deposit accounts)

 

Panel of Adjudicators Sub Committee – no limit

In case of urgency, any two of: Executive Directors and Director of Client Protection – no limit

A single Adjudicator – up to £1.5 million

Senior Advisers, Senior Accounts Analysts, Manager of Accounts Assessment, Technical Manager and Director (in Client Protection) – up to £ 250,000

16

To make any trustee decision to make payments in respect of statutory trust monies which do not derive from a reconciled and intact client and office account (up to the value prescribed)

Panel of Adjudicators Sub Committee – no limit

In case of urgency, any two of: Executive Directors and Director of Client Protection – no limit

A single Adjudicator – up to £1 million

Senior Advisers, Senior Accounts Analysts, Manager of Accounts Assessment , Technical Manager and Director (in Client Protection) and Executive Directors – up to £150,000

17

To decide it is reasonable and proportionate to undertake or to not undertake a course of action in determining potential beneficial entitlements to statutory trust account monies.

Adjudication, Executive Directors and Director of Client Protection

Senior Advisers, Senior Accounts Analysts, Technical and Claims Advisers, Manager of Accounts Assessment and Technical Manager

(in Client Protection)

Accounts Analysts in Accounts Assessment (in Client Protection)

Intervention and Cost Recovery officers (in Client Protection)

18

To issue, defend and generally conduct financial or recovery proceedings in a court or tribunal (and to take preliminary steps such as the service of a statutory demand in bankruptcy) on behalf of the SRA or the Compensation Fund

Executive Directors

Caseworking staff, Claims Advisers, Technical Advisers, Team Managers, Interventions Manager, Manager of Claims Management and Recoveries, Technical Manager and Director (in Client Protection)

19

To make decisions required under and exercise powers arising from (excluding waivers and the setting of fees) the Solicitors Indemnity Insurance Rules and the SRA Indemnity Insurance Rules ; and to deal with matters which call for a decision under the Qualifying Insurer's Agreement.

To make decisions required under and exercise powers arising from (excluding waivers and the setting of fees) the Solicitors Indemnity Rules and the SRA Indemnity Rules .

Adjudication

Financial Protection Committee

Directors

Financial Protection Manager and Policy Executives

Senior Advisers and Senior Professional Indemnity Executives (in Financial Protection)

Professional Indemnity Executives

Supervision staff, Category S1

Authorisation staff, Category A1

Authorisation2

New No. Delegation Level and restrictions
Authorisation - non-entity Authorisation

20

To make decisions required under and exercise powers arising from (excluding waivers and the setting of fees) the Training Regulations / SRA Training Regulations, including:

  • assessment of suitability;
  • dealing with any matter arising from consideration of the character and suitability by reference to the SRA Suitability Test;
  • registration (granting and refusing), cancellation, extension, transfer and amendment of a training contract and appointing a conciliator for training contract disputes;
  • granting and refusing applications for recognition of academic or vocational stage completion by equivalent means
  • recognising, refusing to recognise (all or part of), suspending, imposing conditions on or extending periods of recognised training
  • authorising, imposing conditions upon, declining to authorise and revoking authorisation of approved education providers, authorised education providers and authorised training providers.

To make decisions required under and exercise powers arising from (excluding waivers and the setting of fees) the SRA Higher Rights of Audience Regulations, including granting and refusing to grant higher rights of audience.

To make decisions required under and exercise powers arising from (excluding waivers and the setting of fees) the SRA Admission Regulations and section 3 of the Solicitors Act 1974, including the issuing of a certificate of satisfaction and dealing with matters relating to character and suitability.

Adjudication

Education and training staff, Category ET1

Authorisation staff, Category A1

21

To make decisions required under and exercise powers arising from (excluding waivers and the setting of fees) the Qualified Lawyers Transfer Regulations and the SRA Qualified Lawyers Transfer Scheme Regulations, including granting and refusing to grant a certificate of eligibility.

Adjudication

Education and training staff, Category ET1

Authorisation staff, Category A1

22

To determine applications for membership of professional accreditation schemes, panels and awards, including the waiving of requirements and to revoke membership of professional accreditation schemes, panels and awards.

Adjudication

Education and training staff, Category ET1

Authorisation staff, Category A2

23

To exercise all powers relating to licensing (or "authorisation") of Insolvency Practitioners under the Insolvency Act 1986 (excluding the setting of fees), including exercising the powers to grant, refuse and re-authorise practitioners.

Adjudication

Education and training staff, Category ET1

Authorisation staff, Category A2  

Supervision staff, Category S1

24

To grant a practising certificate, registration as a registered European lawyer (REL) or a registered foreign lawyer (RFL) or approval of non lawyer managers

To grant approval of a manager, owner, Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) pursuant to the SRA Authorisation Rules or the SRA Practising Regulations or to grant approval of a restricted interest for the purposes of Schedule 13 of the Legal Services Act 2007

Adjudication and Executive Directors

Supervision staff, Category S1

Authorisation staff, Category A1

25

To refuse to grant, refuse to renew or refuse to approve:

  • a practising certificate;
  • registration as an REL or RFL;
  • non lawyer manager status;
  • a manager, owner, COLP or COFA for the purposes of the SRA Authorisation Rules ;
  • a restricted interest for the purposes of Schedule 13 of the Legal Services Act 2007;

 or to withdraw, object, revoke or cancel any of the authorisations referred to above:

 

(a) on procedural grounds such as the insufficient provision of information or failure to pay a fee or there having been an administrative error

(b) on any grounds, including refusing on substantive grounds arising from risk to the public

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements

26

To impose a condition (including upon granting an application or approval) on or in respect of:

  • a practising certificate;
  • registration as an REL or RFL;
  • non lawyer manager status;
  • a manager, owner, COLP or COFA for the purposes of the SRA Authorisation Rules ; or
  • a restricted interest for the purposes of Schedule 13 of the Legal Services Act 2007;

(a) where the proposed condition is not objected to by the person or persons concerned

(b) whether the proposed condition is objected to or not.

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements and prescribe from when any such condition should take effect

27

To vary, withdraw, remove or cancel a condition (or to refuse to do so) in respect of:

  • a practising certificate;
  • registration as an REL or RFL;
  • non lawyer manager status;
  • a manager, owner, COLP or COFA for the purposes of the SRA Authorisation Rules ; or
  • a restricted interest for the purposes of Schedule 13 of the Legal Services Act 2007.
 

Adjudication and Executive Directors

Supervision staff, Category S1

Authorisation staff, Category A1

28

In respect of permission or approval required under a condition on or in respect of:

  • a practising certificate;
  • registration as an REL or RFL;
  • non lawyer manager status;
  • a manager, owner, COLP or COFA for the purposes of the SRA Authorisation Rules ; or
  • a restricted interest for the purposes of Schedule 13 of the Legal Services Act 2007;

(a) to grant permission or approval unconditionally or subject to any conditions or requirements which have not been objected to by the person or persons concerned

(b) to refuse permission or approval or to grant permission or approval subject to any conditions or requirements (whether objected to or not)

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

29

In respect of the granting of applications for approval of employment under sections 41 or 43 of the Solicitors Act 1974

(a) to grant approval unconditionally or subject to any conditions or requirements which have not been objected to by the person or persons concerned

(b) to refuse approval or grant approval with conditions (whether objected to or not)

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication

Senior Exceptions Officers and Authorisation staff Category A3

30

To suspend a practising certificate

Adjudication

Senior Exceptions Officers and Authorisation staff Category A3

31

In respect of an application to terminate a suspended practising certificate:

(a) to terminate the suspension, including subject to conditions which are not objected to by the person concerned

(b) to refuse to terminate the suspension or to terminate the suspension subject to conditions (whether objected to or not).

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication

Senior Exceptions Officers and Authorisation staff Category A3

Authorisation - entity Authorisation

32

In respect of an application for authorisation as a recognised sole practitioner, recognised body or licensed body

(a) to grant authorisation unconditionally or subject to any conditions which have not been objected to by the person or persons concerned

(b) to grant authorisation unconditionally or subject to any conditions (whether objected to or not)

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements

33

In respect of determining or modifying the reserved legal activities which a licensed body is authorised to carry on for the purposes of section 85 and 86 of the Legal Services Act 2007 (including upon first application for a licence):

(a) to determine or vary such a term of the licence where the determination or variation is not objected to by the person or persons concerned

(b) to determine or vary such a term of the licence whether objected to or not

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements

34

To refuse an application for authorisation as a recognised sole practitioner, recognised body or licensed body:

(a) on procedural grounds such as the insufficient provision of information or failure to pay a fee

(b) on any grounds, including on substantive grounds arising from risk to the public

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements

35

To extend authorisation as a recognised sole practitioner, recognised body or licensed body

Adjudication

Executive Directors

Supervision staff, Category S1

Authorisation staff, Category A1

Education and Training staff, Category ET1

36

To suspend or revoke authorisation as a recognised sole practitioner, recognised body or licensed body

(a) on procedural grounds such as that there has been an administrative error

(b) on any grounds

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication, Executive Directors, Directors and Heads

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements

37

To reinstate (or refuse to reinstate) authorisation as a recognised sole practitioner, recognised body or licensed body

Adjudication and Executive Directors

Supervision staff, Category S1

Authorisation staff, Category A2

38

To impose a condition on the authorisation of a recognised sole practitioner, recognised body or licensed body 3

(a) where the proposed condition is not objected to by the person or persons concerned

(b) whether the proposed condition is objected to or not.

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

In respect of the exercise of these powers, all persons listed in (a) and (b) above may give notice of the same or decide to dispense with notice requirements and prescribe from when any such condition should take effect

39

To withdraw, remove, vary or cancel a condition of the authorisation of a recognised sole practitioner, recognised body or licensed body

Adjudication and Executive Directors

Supervision staff, Category S1

Authorisation staff, Category A1

40

[deleted]

 

41

In respect of the granting of permission or approval required under a condition on the authorisation of a recognised sole practitioner, recognised body or licensed body

(a) to grant permission or approval unconditionally or subject to any conditions or requirements which have not been objected to by the person or persons concerned

(b) to refuse to grant permission or approval or to grant permission or approval subject to conditions (whether objected to or not)

(a)

Supervision staff, Category S1

Authorisation staff, Category A1

(b)

Adjudication and Executive Directors

Senior Exceptions Officers and Authorisation staff Category A3

Authorisation - other

42

To prescribe a method of calculating turnover for the purposes of the SRA Practising Regulations, SRA Recognised Bodies Regulations or SRA Authorisation Rules

Directors

Authorisation staff, Category A1

43

To make a determination as to whom recognition or authorisation should continue in respect of following a change in composition of the entity for the purposes of the SRA Authorisation Rules

Adjudication and Executive Directors

Supervision staff, Category S2

Authorisation staff, Category A3

44

To require the provision of additional information or documentation in relation to any application, including applications made pursuant to any rules or regulations made by the SRA .

To request any information and documentation relating to a firm's composition, structure, managers, employees, members or shareowners, including for the purposes of the SRA Practice Framework Rules

To shorten or dispense with a notice period, including for the purposes of the SRA Practising Regulations, the SRA Recognised Bodies Regulations and SRA Authorisation Rules

Adjudication and Executive Directors

Education and Training staff, Category ET1

Supervision staff, Category S1

Authorisation staff, Category A1

Investigation Officers, Investigations Manager, Intelligence Manager and Technical Advisers (in Intelligence and Investigations)

45

To vary the time limit for a solicitor to submit an application for a practising certificate

To give permission for a form submitted under the SRA Practising Regulations to not be personally signed

Adjudication and Executive Directors

Education and Training staff, Category ET1

Authorisation staff, Category A1

46

To authorise an accountant's report to be signed other than by a qualified accountant

To determine matters relating to accountant's reports, including the granting of extensions and the granting of waivers relating to the delivery of accountant's reports

Adjudication

Supervision staff, Category S1

Authorisation staff, Category A1

47

To make decisions required and exercise powers relating to the keeping and maintenance of the roll of solicitors, the maintenance of the register of holders of practising certificates and the issuing of practising certificates and the exercise of equivalent powers in respect of the registers of European and foreign lawyers, including refusing to remove or to restore a name to the roll and withholding information from the register

To exercise all powers relating to the maintenance of the registers of recognised bodies and licensed bodies and the issuing of certificates and related matters, including withholding information from the register

To sign a certificate of evidence of status in respect of a licensed body4 for the purposes of section 88 of the Legal Services Act 2007

To extend and to give notice of an extension of the decision period for determining a licensing application

Adjudication and Executive Directors

Authorisation staff, Category A1

48

In accordance with the powers under articles 12-14 of the European Communities (Services of Lawyers) Order 1978, to request a person seeking to provide services in the UK to verify his or her status as an EU, EEA or Swiss lawyer or to specify the extent (if any) to which the person is allowed to provide services in the UK pending verification of his or her status to the SRA's satisfaction; and to determine whether or not the person has verified his or her status to the SRA's satisfaction.

Adjudication, Directors and Heads

Supervision staff, Category S1

Authorisation staff, Category A2

49

To postpone (or rescind the postponement of) the issue of a practising certificate

To refuse or postpone an application to which regulation 3 of the SRA Practising Regulations applies whilst any relevant appeal proceedings are ongoing

Adjudication, Directors and Heads

Supervision staff, Category S1

Authorisation staff, Category A1

50

To make orders and exercise associated powers arising from sections 106 and 107 of the Legal Services Act 2007

Adjudication

Executive Directors

Supervision

New No. Delegation Level and restrictions

51

To authorise an inspection, an investigation, a visit, an investment business compliance visit, or other form of engagement, including any such activity undertaken pursuant to the Solicitors' Accounts Rules and SRA Accounts Rules; the Solicitors' Code of Conduct and the SRA Code of Conduct ; and any other rules or regulations made by the SRA from time to time

Adjudication

Directors and Heads

Supervision staff, Category S2  

Technical Advisers, Investigation Manager and Intelligence Manager (in Intelligence and Investigation)

51A

To give notice, make requests and seek permissions pursuant to outcomes 10.8, 10.9 and 10.10 of the SRA Code of Conduct

To make requests and give notice pursuant to rules 31 and 51 of the SRA Accounts Rules

(For the avoidance of doubt this does not restrict the authority for staff and managers to communicate generally with regulated persons for regulatory purposes including making requests for information and co-operation pursuant to other provisions of the SRA Handbook.)

Adjudication

Directors and Heads

Supervision staff, Category S1

Authorisation staff, Category A2

Education and Training staff, Category ET1

Legal staff, Category L1

Technical Advisers

Investigation Technical Adviser, Investigation Manager and Intelligence Manager (in Intelligence and Investigation)

52

To authorise the publication of a condition affecting a practising certificate, recognition, registration, or approval (or to decide not to publish)

To direct that a condition, or the details of a condition, should not be included in the relevant register (including those held for registered European and foreign lawyers) and on the individual's practising certificate

Adjudication

Supervision staff, Category S1

Authorisation staff, Category A1

Legal staff, Category L1

53

To request an explanation in respect of a regulated person's conduct, including under warning and including for the purposes of the SRA (Disciplinary Procedure) Rules

Adjudication, Directors and Heads

Supervision staff, Category S1

Authorisation staff, Category A1

Legal staff, Category L1

54

To vest a discretion in the issue of a solicitor's next practising certificate

Adjudication, Directors and Heads

Supervision staff, Category S3

Technical Advisers

55

To dispense with or vary procedures set out in the SRA (Disciplinary Procedure) Rules in accordance with those rules

Adjudication, Directors and Heads

Technical Advisers (in Supervision)

Legal staff, Category L1

56

To request from a regulated person a statement as to their financial means pursuant to the SRA (Disciplinary Procedure) Rules

Adjudication, Directors and Heads

Supervision Staff, Category S1

Legal staff, Category L1

57

To refer the conduct of a person to an appropriate regulator or the Legal Services Board pursuant to section 98 of the Legal Services Act 2007

Adjudication, Directors and Heads

Authorisation staff, Category A3

Supervision Staff, Category S1

Legal staff, Category L1  

Investigations Manager, Intelligence Manager and Technical Advisers (in Intelligence and Investigation)

58

To give any notices required for the purposes of Schedule 14 of the Legal Services Act 2007 (including for the avoidance of doubt paragraphs 1(4), 3(5), 8 and 10) and Schedule 1 of the Solicitors Act 1974 (including for the avoidance of doubt paragraphs 6 and 9) which concern intervention powers

Adjudication

Executive Directors

Director of Client Protection, Manager of Interventions and Costs Recovery, Team Manager of Interventions and Technical Advisers in Interventions and Cost Recovery

Supervision Staff, Category S3

Legal staff, Category L3

59

To disqualify an accountant from signing accountant's reports for the purposes of the Solicitors' Accounts Rules or SRA Accounts' Rules

Adjudication

59A

To notify a person that a payment made appears to the SRA to be a referral fee for the purposes of section 57(7) of the Legal Aid, Sentencing and Punishment of Offenders Act 2012

Adjudication

Directors and Heads

Supervision staff, Category S1

Legal staff, Category L1

Technical Advisers

Investigation Technical Adviser, Investigation Manager (in Intelligence and Investigation)

Adjudication

New No. Delegation Level and restrictions

60

1. To exercise all powers contained in or arising from Regulation 26 of the Law Society's General Regulations and for the avoidance of doubt to exercise all powers exercisable by the Solicitors Regulation Authority (save, for the avoidance of doubt (a) governance and policy making of the SRA including the making of rules or the setting of fees or compensation fund contributions and (b) any power expressly reserved to a panel of adjudicators)

2. For the avoidance of doubt, the powers referred to in 1 above are exercisable by adjudicators on first instance, appeal, review or on a freestanding basis, on referral for a decision

3. Powers of intervention are reserved to a panel of at least two adjudicators unless the Chief Executive, an Executive Director or a Director decides that an intervention should be considered by a single adjudicator because of severe and imminent risk to the public, in which case such powers may be exercised by a single adjudicator. (Powers of intervention include section 35 and Schedule 1 of the Solicitors Act 1974, Schedule 2 of the Administration of Justice Act 1985, section 102 and Schedule 14 to the Legal Services Act 2007 and any provision with similar effect.)

1 and 2 – Adjudication

3 – Panel of Adjudicators Sub-Committee

61

To make findings and to 5:

  • give a written rebuke;
  •  fine;
  • make a decision to publish (or not) a decision to rebuke or to fine;
  • disqualify a person;
  • bring a disqualification to an end; or
  • make an order under section 43(2) of the Solicitors Act 1974;
 

Adjudication

62

To appoint the membership of a Panel of Adjudicators Sub Committee and to designate the Chair

Adjudication Administrator

Chief Adjudicator, or in the absence of the Chief Adjudicator, a single Adjudicator

Legal and Enforcement

New No. Delegation Level and restrictions

63

To authorise and conduct disciplinary proceedings and any other proceedings before the Solicitors Disciplinary Tribunal and to authorise the addition of further allegations

To authorise, issue, defend and generally conduct any proceedings or proposed proceedings in a court or tribunal, subject to any express requirement that a particular form of proceedings or application may be authorised by a Head of Legal or by the Executive Director – Legal

For the avoidance of doubt, the above includes the power to issue a restriction notice for the purposes of Schedule 13 of the Legal Services Act 2007 and to make any application to the High Court under Part 5 of Schedule 13 of that Act or Schedule 14 of that Act and to give any associated notices.

To make any decision related to proceedings which they are authorised to conduct including, for the avoidance of doubt, publication (or not) or other disclosure of a referral to the Solicitors Disciplinary Tribunal and/or the basis of such a referral

Adjudication

Legal staff, Category L1

64

To rescind a decision to authorise disciplinary proceedings and any other proceedings before the Solicitors Disciplinary Tribunal

Legal staff, Category L3

65

To authorise or take preliminary steps in prospective proceedings such as, but not limited to, service of a statutory demand or a pre-action protocol letter

Legal staff, Categories L1

Caseworking staff, Claims Advisers, Technical advisers (all in Client Protection), Director of Client Protection

66

To authorise prosecution of offences under the Solicitors Act 1974, the Administration of Justice Act 1985, the Courts and Legal Services Act 1990 and the Legal Services Act 2007

Legal staff, Category L2

67

To decide to give notice pursuant to sections 44B of the Solicitors Act 1974 and any equivalent notice such as paragraph 14 of Schedule 2 to the Administration of Justice Act 1985 and to exercise the related powers pursuant to those provisions

To decide to give notice pursuant to section 93 of the Legal Services Act 2007 and to exercise the related powers pursuant to those provisions

Adjudication

Directors, Heads and Managers (Supervision)

Legal staff, Category L1

Investigations Manager and Intelligence Manager (in Intelligence and Investigation)

Technical Advisers

68

To decide to give notice pursuant to sections 44BA of the Solicitors Act 1974 and any equivalent notice for the purposes of paragraph 14 of Schedule 2 to the Administration of Justice Act 1985 and to exercise the related powers pursuant to those provisions

To authorise an application to court pursuant to section 44BB of the Solicitors Act 1974 or section 94 of the Legal Services Act 2007 and to exercise the related powers pursuant to those provisions

Legal staff, Category L2  

69

To authorise a regulatory settlement agreement or issue agreement, including (but not limited to):

  • making findings and consequently to 6:
  • give a written rebuke;
  • direct payment of a penalty;
  • make a decision to publish (or not) a decision to rebuke or to fine;
  • disqualify a person;
  • bring a disqualification to an end; or
  • make an order under section 43(2) of the Solicitors Act 1974.
  • imposing conditions or other controls upon practising certificates, registration or any other form of authorisation
 

Adjudication and Executive Directors

Head of Legal and Enforcement

Head of Legal Policy and Advice

Director of Enforcement

Any two of: Technical Advisers (all), Operations Manager (in Authorisation), Exceptions Manager (in Authorisation) or Supervision Managers

70

For the avoidance of doubt and in addition to general internal financial authorities applicable to the Compensation Fund, to authorise payment of monies from the Compensation Fund for:

(a) payment of any costs, charges or expenses incurred by the SRA in establishing, maintaining, protecting administering or applying the Fund, and/or

(b) payment of any costs or damages incurred by the SRA, its employees or agents as a result of proceedings against it or them for any act or omission of its or theirs in good faith and in the exercise or purported exercise of powers of intervention;

together with the power to authorise any steps required to deal with such matters such as, by way of example only, bringing or defending proceedings to maintain or protect the Fund.

Chief Executive, Executive Directors, Director of Enforcement, Director of Client Protection, Heads in Legal at the level of their internal financial authorities generally

Standards

New No. Delegation Level and restrictions

71

To decide upon applications for waivers of requirements of the SRA Handbook / SRA rules and regulations

Adjudication

Standards Committee

Financial Protection Committee

Directors

Director of Policy and Strategy

 

Head of Ethics Guidance

Policy Executives

Senior Advisers and Senior Professional Indemnity Executives (in Financial Protection)

Professional Indemnity Executives

Authorisation staff, Category A4

Education and Training staff, Category ET1

Senior Ethics Advisers

72

To waive the 'qualified to supervise' requirement for the purposes of the SRA Practice Framework Rules

Authorisation staff, Category A3

73

To deal with applications for authority to withdraw money from client account

To deal with applications for authority to withhold money from client account

Adjudication

Directors

Policy Executive, Ethics Adviser, Senior Ethics Adviser or Head of Ethics Guidance ( in Policy, Standards, Strategy and Research)

74

To approve foreign legal professions for the purposes of section 89 of the Courts and Legal Services Act 1990

Standards Committee

Executive Directors

75

To exercise all powers and make all decisions (excluding waivers and the setting of fees) relating to course providers offering the academic and vocational stages of training under the SRA Training Regulations.

To deal with all matters relating to assessment organisations and / or providers of post-qualification training under the SRA Qualified Lawyers Transfer Scheme Regulations, SRA Higher Rights of Audience Regulations and SRA Training Regulations (excluding waivers and the setting of fees).

Adjudication

Education and Training staff, Category ET1

Footnotes

1 For the avoidance of doubt, a decision to reconsider a decision when judicial review or other litigation is threatened or commenced is a decision in the course of litigation and may be made by Legal staff, Category L1.

2 For the avoidance of doubt, the powers delegated in respect of authorisation in this schedule include equivalent powers where there is a need for temporary emergency approval, recognition or authorisation under any SRA rules or regulations in force from time to time

3 For the avoidance of doubt, such conditions may be imposed in addition to any general terms and conditions which may automatically be in place by virtue of authorisation provisions set out in SRA rules and regulations.

4 For the avoidance of doubt, those individuals to whom this power is delegated are also appointed for that purpose.

5 Including for the purposes of the SRA (Disciplinary Procedure) Rules and SRA (Cost of Investigation) Regulations in force from time to time

6Including for the purposes of the SRA (Disciplinary Procedure) Rules and SRA (Cost of Investigation) Regulations in force from time to time

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