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Equality impact assessment schedule 2011/12

 

Our equality impact assessment schedule is in line with our equality and diversity action plan and objectives, and is organised according to our areas of work:

Authorisation directorate

Equality impact assessment Description Date of completion
Practice Standards Unit This assessment considers the overall function of the Practice Standards Unit (PSU). This function analyses received information in order to determine if a visit to a firm is necessary. January 2011
Investigation function of the Forensic Investigation Unit The Forensic Investigation Unit carries out on-site investigations of firms of solicitors. The aim of an investigation is to determine whether there are any potential breaches of the Solicitors' Accounts Rules lor Code of Conduct which require regulatory action. January 2011
The single report process for interventions This is the process for considering regulatory breaches which require regulatory action once the SRA has intervened into a firm to close it down. March 2011
Quality assurance process for the Contact Centre This is the process to ensure that a consistent and quality service is provided to all solicitors, students and members of the public that approach the SRA's Contact Centre for advice and guidance. June 2011
Implementing the SRA's Enabling Programme The Enabling Programme covers the work we are doing within the SRA to ensure that our business processes and technology are "fit for purpose" as we move to outcomes-focused regulation in October 2011. July 2011
Vetting procedures for Authorisation These procedures ensure that individuals applying for authorisation are consistently and appropriately vetted and apply in addition to being assessed for suitability. August 2011
Authorisation processes for alternative business structures (ABS) We are developing mechanisms to determine and process applications to authorise ABS. August 2011
Delivering annual accounts reports These are decision-making criteria in relation to the requirement for firms to deliver annual accounts to the SRA and include decisions to extend, refuse or waive the requirement. December 2011
Training review This is a comprehensive review of education and training and is likely to involve recommendations for change which will be assessed for their impact on equality. This has superseded our equality impact assessment of some of the individual decision-making criteria, for example in relation to the approval of training contracts. December 2011

 

Supervision, Risk and Standards directorate

Equality impact assessment Description Date of completion
Risk Assessment Designation Centre An assessment to evaluate the receipt of regulatory information (other than confidential intelligence, which is gathered by our Fraud and Confidential Intelligence Bureau (FCIB). January 2011
The SRA Handbook Each section of the Handbook has been assessed for its impact on equality including the Code of Conduct, the Accounts Rules, the indemnity insurance rules and others. There are nine separate reports drawn together in a summary report. February 2011
Alternative business structures (ABS) This assessment looks at the equality impact of ABS entering the legal services market and our approach to authorisation and regulation of ABS. March 2011
Section 69 - Authorisation of sole practitioners This order enabled a change in the law so that sole practitioners will be subject to the same authorisation process as other recognised bodies and licensed bodies. March 2011
Client financial protection arrangements A review of the client financial protection arrangements to propose a new approach for indemnity insurance arrangements and the assigned risks pool (ARP). April 2011
The supervision policies and processes for firms through outcomes-focused regulation These are the policies and processes we are developing as we plan how we will be supervising the profession as part of our outcomes-focused regulation. July 2011
Imposing conditions on practising certificates The regulations and processes which govern the SRA's exercise of its powers to impose conditions on a solicitor's practising certificate. July 2011
Analysing the process of orderly closure for firms We are developing a process to ensure consistency and proportionality in our approach to the closure of firms. August 2011
First-tier complaints systems used by firms We are developing a system to collect and scrutinise information from firms about their complaints handling. August 2011
Working with firms through a relationship management model This will look at the methods and processes used within the relationship management model pilot to understand how we will effectively work with firms on an outcomes-focused, principles-based approach. October 2011
Rules to identify and supervise impact and risk in the supervision of firms As a risk-based regulator, we are developing ways to ensure we are proportionate in our approach to identifying risk in our supervision work. September 2011
Supervision and enforcement strategy for conveyancing We have published a strategy for supervision and enforcement in relation to conveyancing which will be reviewed following a pilot with firms. September 2011

 

Equality impact assessment Description Date of completion
Enforcement strategy The enforcement strategy sets out our approach to enforcement under outcomes-focused regulation. January 2011
Code for referral to the Solicitors Disciplinary Tribunal and rescissions These are two sets of decision making criteria for the SRA's referral of disciplinary matters to the SDT and rescinding referral decisions where appropriate. September 2011
Prosecuting non-solicitors under the Solicitors Act This is decision making criteria to determine when we should prosecute someone for practising as a solicitor when they are not entitled to. September 2011
Regulatory settlement agreements These are agreements reached between the SRA and solicitors to settle a regulatory investigation or part of it without the need to make a disciplinary decision or pursue the case at the SDT. November 2011
Publishing disciplinary decisions Our policy on publishing regulatory and disciplinary decisions. November 2011

 

Resources directorate

Equality impact assessment Description Date of completion
Emergency funding This is the criteria to urgently release client money from a firm that has been closed down by intervention before all the accounts have been reconciled. September 2011
Decision making on statutory trust matters Our approach to identify potential beneficiaries and for the SRA to distribute funds we hold on statutory trust from firms that are closed down. September 2011
Communications with the debtor Our approach to managing communications in a bankruptcy situation, to ensure property and financial claims are dealt with fairly and expeditiously. October 2011

 

Communications directorate

Equality impact assessment Description Date of completion
External communications processes Our approach to external communications in areas such as consultation, media and events. July 2011
Digital communications Our handling of electronic communications including our email communications, our webinars, and use of any social networking media. July 2011
Internal communications at the SRA The range and variety of our internal communications processes. August 2011

 

Inclusion directorate

Equality impact assessment Description Date of completion
Reasonable adjustments policy A policy for our "customers" to understand how we will handle requests for reasonable adjustments. February 2011
Special payments policy A policy to determine if and when financial payments should be paid, for example ex gratia payments for failures of service. April 2011
Consumer affairs strategy The strategy that sets out how the SRA will engage with, educate and empower those using the services of solicitors. June 2011

 

Human Resources department

Equality impact assessment Date of completion
Retirement policy July 2011
Education assistance policy July 2011
Learning and development policy July 2011
Diversity policy August 2011
Family-friendly policies August 2011
Restructuring within the SRA August 2011
Company car policy December 2011
Moving the SRA to a single site policy TBC