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

Alternative business structures

• Authorisation, decision to grant free from or subject to conditions an initial application for [Updated]
• Authorisation, decision to refuse [Updated]
• Authorised body, decision to modify terms or conditions of authorisation of an [Updated]
• Authorised body, decision to a impose condition following approval of a Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) [Updated]
• Authorised body, decision to impose conditions following authorisation of [Updated]
• Change of interest of a non-authorised owner, decision to impose conditions following notification of [Updated]
• 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 to be a [Updated]
• Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA), decision to withdraw approval [Updated]
• Manager, decision to approve or refuse with or without conditions on a body's authorisation [Updated]
• Manager, decision to withdraw approval of [Updated]
• Owner, decision to approve or refuse with or without conditions [Updated]
• Owner, decision to withdraw approval of [Updated]
• Temporary emergency authorisation, decision to grant for a partnership [Updated]
• Temporary emergency authorisation, decision to grant or refuse with or without conditions to a Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) [Updated]

Applications

• Accountant's report, decision to waive requirement to deliver [updated]
• SRA Indemnity Rules, rule 19, and SRA Indemnity Insurance Rules, rule 19.1, decision to grant or refuse application for waiver under [updated]

Indemnity insurance

Registration, recognition, authorisation, conditions and revocation

Training, admission and being on the roll

• Assessment of suitability [Updated]
• Training contract, decision to waive the minimum salary [updated]