Information for Applicants Appointment of Adjudicators ADJ002/2015 Solicitors Regulation Authority August 2015 1
Introduction The Solicitors Regulation Authority (SRA) is the independent regulatory body of the Law Society in England and Wales. Whilst we are primarily the regulator of solicitors and solicitor practices, we are also the regulator of new kinds of legal practices that are owned or managed by non-lawyers. We operate in accordance with the regulatory objectives of the Legal Services Act 2007 and the better regulation principles. The SRA regulates the conduct of solicitors and law firms to protect consumers and support the rule of law and the administration of justice. We are part of the Law Society, the professional body for solicitors, but have full operational independence. All our regulatory decisions are made independently in the public interest. There are around 600 staff operating from our offices at the Cube in Birmingham as well as a London office where much of its work with City firms is based. Our work is overseen by the SRA Board, which is made up of 15 lay and legally qualified members. The Board is assisted in its work by a number of sub-committees and groups. What we do Setting standards for solicitors Our aim is to give the public full confidence in the solicitors' profession. We set the standards for qualifying as a solicitor. We monitor the performance of organisations that provide legal training. We draft the rules of professional conduct, particularly to make sure they protect the interests of clients. We provide authoritative guidance and rules to solicitors on ethical issues, laws and regulations that affect solicitors' work. We administer the roll (register) of solicitors. We provide information to the public about solicitors, their work and the standards the public is entitled to expect. We set standards for solicitors' competence. Regulating independently Our aim is to serve the public interest and protect consumers of legal services. We monitor solicitors and their firms to make sure they are complying with the rules. We exchange information with other regulators and law enforcement agencies in order to protect the public. We investigate concerns about solicitors' standards of practice and compliance with the rules, where necessary taking regulatory action such as rebuking or fining the solicitor. When necessary, we close down solicitors' firms so as to protect clients and the wider public, and returning papers and money to their owners. We refer solicitors to the independent Solicitors Disciplinary Tribunal and deal with the prosecutions. We run a compensation fund to help people who have lost money as a result of a solicitor's dishonesty or failure to account for money they have received. 2
Quality and consultation To ensure we achieve our aims, we work with those who monitor our performance, such as the Legal Services Board. In all of our work, we consult widely with the public, consumer groups, solicitors, other legal professionals and government. SRA Risk Framework We are a risk-based regulator. Risk-based regulation means that risks to us acting compatibly with the regulatory objectives are assessed in terms of their probability and the impact of any harm they cause. This approach ensures that regulatory activities and resources are prioritised and applied proportionately. The Regulatory Risk Framework outlines how we operate and oversee risk-based regulation through our risk management process, risk governance and the organisational culture required to embed a risk-based approach. Our Corporate Strategy We have published the SRA Corporate Strategy 2014/15 to 2016/17 and the SRA Business Plan 2014/15. These documents set out our overall strategy and plans covering all aspects of our work in regulating solicitors and law firms. Equality and Diversity We are a public authority for the purpose of the Equality Act 2010. There is further information on our website about how we meet our public sector equality duties under the Act. Our Corporate Strategy makes clear our commitment to progressing our work on equality, diversity and inclusion, and the centrality of it to our plans. We are committed to being an organisation where diversity is valued and to working in an inclusive way, harnessing the contribution that every member of the organisation is able to make to our success. Similarly, we aim to regulate in a way that treats all those we regulate fairly and to work with those we regulate to encourage a strong and diverse profession where all have an opportunity to succeed. Our SRA Equality, Diversity and Inclusion Strategy and Action Plan flow directly from our Corporate Strategy and provide a greater level of detail about our work in this area. In this strategy, we have set out 3 objectives, how we intend to take our work forward and how this meets our public sector equality duties. The actions identified include the steps we are taking to address the issues identified by Professor Gus John in the Independent Comparative Case Review (ICCR). We published our initial response to the ICCR in June 2014. Equality, diversity and inclusion objectives for 2014/17 Within the context of our overall Corporate Strategy, our objectives for equality, diversity and inclusion are to: develop a more diverse workforce and promote an inclusive culture, equality of opportunity for all staff and the behaviours and capabilities required to regulate proportionately, fairly and free from bias; ensure that the way we operate, our rules and the decisions we make are proportionate, fair and free from bias and help firms and individuals understand and comply with our requirements; and 3
work with those we regulate to support them in achieving a more diverse and inclusive profession. Decision making Decision-making is a vital function that we perform in our role as the leading regulator of legal services in England and Wales. Adopting a risk-based approach to regulation requires the proportionate allocation of resource to the areas perceived to pose the most risk to us meeting our regulatory objectives. As part of this approach, our decisions must also be risk-based and focused on the outcome we wish to achieve, whilst remaining fair, consistent, proportionate and acting in the public interest. Our powers to license and regulate firms have expanded with the introduction of alternative business structures (ABS). Our move towards risk-based regulation has required us to restructure our organisation and retrain staff. We have a Decision Making Framework that provides us with a template for a rigorous system of decision-making. It brings together the component parts of our decision-making process to support staff in their work. The Framework is a flexible document and will be reviewed keep it up to date and relevant. Adjudication SRA Adjudicators make regulatory decisions on a wide range of powers contained in legislation and the SRA Handbook. These decisions must be risk based, consistent and in accordance with published policy and criteria. Throughout our processes we seek to demonstrate we are a fair regulator and that decisions are made on an objective and impartial basis. Types of decisions made by adjudicators include: to determine suitability for a period of recognised training or admission to grant or refuse a waiver to impose conditions on a practising certificate or authorisation to consider an application for a grant from the compensation fund to intervene into a firm to make findings and consider imposing sanctions, including fines, for failure to comply with regulatory obligations to make orders in respect of employees of firms (section 43 Solicitors Act 1974) to approve employment of solicitors who have been struck off the Roll (section 41 Solicitors Act 1974) to determine beneficial entitlement to money held on statutory trust following intervention into a firm to deal with all appeals against regulatory decisions made by staff. Appointed Adjudicators will usually sit as a panel comprising three members, one of whom will be the chair. They may make first instance decisions or deal with appeals against first instance decisions. Technical support is provided by a panel adviser. Each panel may be required to consider up to 5 different types of decisions in a day. Cases contain large amounts of information, some of which may be complex. The decision must be signed and dated by the chair and finalised either on the day or within 10 working days of the panel meeting. Where appropriate, panels may meet by way of a telephone conference and/or for half a day. This is dependent upon the type and volume of work received. In some cases, 4
interviews may be held or applicants may be invited to attend before a panel to respond to specific questions prior to a decision being made. Most panel meetings take place at the SRA offices in Birmingham although some may be held at our London office. The Chief Adjudicator is responsible for managing the Adjudication function and manages three permanent full time Adjudicators and two Adjudication Support Officers. Decisions made by Adjudicators and Adjudication panels are subject to random monthly quality assurance audits. Adjudicators appointed to provide services will be observed and receive an annual appraisal of their performance. Main Activities The main activities of Adjudicators are: Reviewing papers and preparing for a hearing Reading and assimilating case bundles before the panel is scheduled, including studying voluminous and complex documentary evidence. Raising any factual queries or issues in advance. Conduct of Adjudication panels To ensure that cases are conducted efficiently and effectively in a manner compatible with the interests of natural justice and in accordance with relevant rules, procedures and the Decision Making Framework. Determination of cases In conjunction with the other panel members, deciding outcomes and imposing any sanction or control as appropriate or taking no further action. Decision writing Fully reasoned decisions should be produced in writing of the outcome of each case considered at the panel meeting. This will be done as soon as practicable and in any case before the end of 10 working days of the scheduled Adjudication panel. Following the panel, the chair will need to ensure that the other members agree that the decision accurately records the findings and decisions made by the panel. 5
Person Specification Eligibility criteria (further information below). Solicitor, Barrister, Chartered Legal Executive or equivalent legal professional status, with an entitlement to practise. Evidence will be required of entitlement to practise. Lay members must not have any legal professional qualification. We will require an up to date disclosure and barring check and may also undertake our own regulatory checks for successful applicants. Essential Criteria A. Key skills and abilities Adjudicators must be able to: Demonstrate a commitment to the promotion of equality and diversity, particularly in decision making. Process large volumes of information efficiently and effectively. Assimilate, assess and evaluate complex issues whether on paper or from oral representations. Analyse, interpret and apply relevant legislation, rules, policy and case law principles. Determine issues objectively, applying unbiased and balanced judgement. Make clear, reasoned and proportionate evidence based decisions. Type and produce written decisions by presenting information succinctly and in plain English. B. Experience and knowledge Adjudicators must also be able to demonstrate: Knowledge of risk based regulation. Experience of working as a member of a team, with an ability to bring their own experience to bear on issues under discussion. An understanding of how the principles of statutory regulation impact on consumers and the importance of maintaining and upholding standards in the public interest. Familiarity with Microsoft Office. Terms and Conditions Adjudicators are expected to provide services for between 6-12 days each year. A rate of 400 is payable for attendance at a full days meeting; 250 for half day meetings and other variable rates will operate depending on the type and/or urgency of a case. Chairs receive an additional sum reflecting their role and responsibility for each panel. This rate includes all preparation, reading and travel time, as well as attendance at the panel and writing all decisions. Adjudicators will be expected to attend training days arranged three times each year. Subject to any exceptional circumstances, non attendance could result in a review of and possible termination of a contract. A rate of 200 will be payable for this attendance. There may be the opportunity for other additional desk based work which will attract a set fee or a rate of 35 an hour. Reasonable travel expenses for standard class travel will be reimbursed subject to a maximum claim of 150.00. 6
Adjudicators will be appointed for a three or four year term, which may be renewed for up to a further two years. The Recruitment Process 21 September 2 October 2015 Short listing 15,19, 20 & 22 October 2015 Interviews 1 November 2015 Appointment commences 11 November 2015 Mandatory induction day (1) 7 December 2015 Mandatory induction day (2) Successful candidates must attend the induction training. A total fee of 300 will be payable for attendance on the two day induction training. Reasonable standard travel expenses will be reimbursed. How to Apply Applications should be made by completing an application form. CV s will not be accepted. Applicants who do not meet the essential criteria will not be considered. Include the names and contact details of two referees who are in a position to comment on your skills, knowledge and experience (referees will be contacted if you are selected for appointment following interview). Please complete the Equality and Diversity monitoring form. The closing date for applications is 4pm on 20 September 2015. Applications received after this time will not be considered. It is the applicant s responsibility to ensure applications are received on time. You can apply online by following the link below and clicking on Apply https://lawsociety.tal.net/vx/lang-en-gb/appcentre-2/candidate/postings/345 If you need assistance with the completion of your application, or at any stage of the selection process due to a disability, please contact us and a member of our team will work with you to consider alternative formats or adjustments that will meet your needs. Note: The representative and regulatory functions of the Law Society are separate. The SRA is the regulatory body of the Law Society and Adjudicators will provide services to the SRA. Individuals who are employed by the Law Society or sit on Council, its committees or groups are eligible to apply for this post on the basis that, if successful, they cease to hold their Law Society post. Eligibility Criteria All members To be an effective regulator, and to maintain public confidence in the profession, the SRA must inspire absolute trust and confidence in the public and the profession. In order to do so, 7
Adjudicators must maintain the highest standards of personal and professional behaviour. Accordingly, we will assess whether there is anything in your past conduct or current circumstances that would affect your eligibility to hold office. You are therefore required to declare: that you have not been the subject of findings of professional misconduct by the Law Society, the SRA or Solicitors Disciplinary Tribunal or by the disciplinary arm of any other regulated profession to which you may have been subject; that you have not been committed to prison in any civil or criminal proceeding; that you have no criminal convictions; that you are not to the best of your knowledge under investigation in respect of professional misconduct or under criminal investigation; that you are not an undischarged bankrupt nor subject to a composition, deed of arrangement or an individual voluntary arrangement for the benefit of your creditors; that you have not had a court judgment against you; anything that you believe is relevant to our consideration; any health issue that you believe we should take into account in relation either to the application or the role. Disclosure of criminal convictions and cautions is governed by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (as amended). Failure to disclose any material matter will normally have an adverse affect on your application. You also agree to the SRA carrying out checks into any past or current findings or investigations relating to professional misconduct if it deems it necessary as part of the recruitment process. 8