Decision-making criteria

Introduction

In line with our decision-making framework, principles and guidelines, we are committed to publishing the criteria that underpin our formal regulatory decisions. Decision-makers must have regard for the relevant decision making criteria and will normally include reference to specific criteria applicable to the decision made. SRA policies relevant to decision-making are reflected in the criteria.

This section contains details of relevant decision making criteria, the delegated decision to which they relate and which staff are authorised to make such decisions. They set out criteria in statutory rules (where applicable), developed criteria, relevant policies and provide a case study example to help contextualise.

Click on a type of decision below to view the corresponding criteria.

Decisions

Applications

• Accountant's report, decision to waive requirement to deliver
• Approval of employment, partnership, directorship, membership of a solicitor, REL or RFL pursuant to a practising certificate or registration condition.
• Client account, decision in relation to application to authorise withdrawal of money from
• Foreign legal professions, decision to approve
• Permission to employ an individual under s41 or s43 Solicitors Act 1974, whether to grant or refuse.
• Practising certificate or registration, decision to terminate suspension of

Compensation Fund

• Compensation Fund, decision to make a grant from
• Compensation Fund, decision to release emergency funds on intervention
• Compensation Fund, undertaking to return overpayment from a Statutory Trust Account

Findings and outcomes

• Criminal prosecution, decision to pursue a
• Financial penalty, decision to impose
• Finding and warning, decision to issue
• Regulation 3.1(b) of the SRA Practising Regulations 2011, decision to make a solicitor or registered European lawyer (REL) subject to
• Regulatory settlement agreement or issue agreement, decision to enter into
• Section 43(2) of the Solicitors Act 1974, decision to make an order under
• Solicitors Disciplinary Tribunal, decision to refer a regulated person's conduct to
• Undue delay (such as pursuant to paragraph 3 of Schedule 1 of the Solicitors Act 1974), to give notice and intervene in complaints of
• Written rebuke, decision to issue a regulated person

Firm-based authorisation

• Firm Structures

  • Authorised bodies

    • Authorisation of an authorised body, decision to revoke or suspend
    • Authorisation to provide legal services as a legal services body, decision to approve (including approval subject to conditions) or refuse application for
    • Authorisation to provide legal services as a licensed body, decision to approve (including approval subject to conditions) or refuse application for
    • Authorised body, decision to impose conditions on following approval of a Compliance Officer for Legal Practice (COLP), a Compliance Officer for Finance and Administration (COFA), a manager or owner
    • Authorised body, decision to modify the terms and/or conditions of authorisation of
    • Authorised body, decision to impose conditions following authorisation of

  • Partnerships

    • Temporary emergency authorisation, decision to grant to a partnership

  • Recognised sole practitioners

    • Recognised sole practitioner, decision to grant or refuse initial authorisation, renewal of existing authorisation or temporary emergency recognition, or to grant subject to a condition.

  • Other(s)

    • Recognised sole practitioner, recognised body or licensed body, decision to grant or refuse to grant permission or approval required under a condition on the authorisation of

• Defined roles

  • Authorised body's manager, decision to approve or refuse with or without conditions on the body's authorisation
  • Authorised body’s manager, decision to withdraw approval of
  • Authorised body's owner, decision to approve or refuse with or without conditions on the body’s authorisation
  • Authorised body's owner, decision to withdraw approval of
  • Compliance Officer for Legal Practice (COLP) and/or a Compliance Officer for Finance and Administration (COFA), decision to withdraw approval of
  • Compliance Officer for Legal Practice (COLP) and/or a Compliance Officer for Finance and Administration (COFA), decision to refuse or approve with or without conditions
  • Licensed body's non lawyer ‘material interest’ owner, decision to approve (with or without conditions), refuse or withdrawal.
  • Temporary emergency authorisation, decision to grant or refuse with or without conditions to a Compliance Officer for Legal Practice (COLP) and/ or Compliance Officer for Finance and Administration (COFA)

Indemnity insurance

• Qualifying insurance policy, decision to grant exemption to firm containing at least one registered European lawyer (REL) from obligation to take out a policy of qualifying insurance
• Solicitors Indemnity Insurance, decision to grant or refuse an application for a waiver

Intervention

• Intervene, decision to
• Statutory Trust Accounts, decisions in relation to the distribution of
• Statutory Trust Accounts, decisions in relation to determining potential beneficial entitlements

Investigations and enforcement

• Costs arising from regulatory action, decisions relating to
• Information or documents, application to the High Court to require another person to provide
• Information or documents, decision to make an order to require provision or production of
• Information or production of documents, decision to make an order to require a regulated person to attend to provide
• Reconsider any decision, decision to

Standards and visits

• Inspection, engagement or thematic visit, decision to authorise

Training, admission and being on the roll

• Academic Stage, Legal Practice Course
• Certificate of Academic Standing, decision to grant
• Certificate of Completion of the Academic Stage, decision to grant
• Certificate of student enrolment, decision to grant
• Assessment of suitability
• Common Professional Examination, decision to grant full or partial exemption from
• Higher rights of audience, decision to approve
• Licensed Insolvency Practitioners, decision to approve authorisation
• Licensed Insolvency Practitioners, decision to approve re-authorisation
• Management Course Stage One, decision to grant an exemption from
• Practising certificate or registration, decision to impose a condition on
• Professional Skills Course, decision to grant exemption from
• Qualified Lawyers Transfer Scheme, decision to issue certificate of eligibility in relation to
• Training contract, decision to amend
• Training contract, decision to cancel
• Training contract, decision to extend
• Training contract, decision to register a
• Training contract, decision to transfer
• Training Contract, decision to waive the minimum salary
• Training establishment, decision to authorise an organisation as
• Training establishment, decision to increase the permitted number of trainees