With a move to a system which is based on principles rather than rules, it becomes even more important that we ensure only those who can meet those principles enter the legal profession.
I have always taken a keen interest in legal education and training as it enables us to maintain the highest standards among all those working in the profession. Until my current appointment I was chairman of the governors of the College of Law.
Although the academic and vocational stages have an important role to play in creating professionals who meet high standards, the Solicitors Regulation Authority also has a duty to examine every prospective solicitor’s behaviour and conduct to ensure they are of good character.
Maintaining high standards among those coming into the profession is a key focus for the SRA. For example, last year we tightened the basis for admission under the Qualified Lawyers Transfer Test. With the imminent changes to the structure of legal services, which will allow them to be owned and managed by non-lawyers, maintaining these standards becomes even more imperative. We therefore need to ensure that all relevant individuals have the level of honesty and integrity expected by the public and do not pose a risk to the reputation of the legal services sector.
It is with this in mind that on 6 October, coinciding with the launch of the outcomes-focused regulation (OFR) and the new handbook, we are bringing in the new suitability test – a clear expression of our requirements for the suitability of those entering, or training to enter, the profession and those holding key roles in the new business structures.
The current character and suitability guidelines are rigorous, and the new criteria are just as robust. Applicants will still be assessed in relation to relevant information such as criminal convictions, financial behaviour, academic offences (such as plagiarism), and decisions from other regulators.
The basic standards and criteria for suitability remain the same; the big difference is that those applying will now be given clearer guidelines about the information we will use to assess them and the decision-making process will be more transparent.
Although it is called a ‘test’, it is not a series of questions for someone to answer.
Instead, it is a clear and unambiguous set of criteria for assessing honesty, integrity and character – in other words, a ‘fit and proper’ test.
The new test goes into more detail on factors that will determine a decision, such as criminal offences. The current system does not explicitly distinguish between types of offence whereas the new test sets out more detail for applicants on how we will deal with matters such as cautions, warnings and inclusion on the Violent and Sex Offender Register.
The current system provides no information about the probability of the outcome whereas the new test gives potential applicants four levels of probability based on the seriousness of the matter under consideration. This means that it is much clearer at an earlier stage, to those looking to train to become a solicitor or become involved in an SRA-regulated organisation, whether or not they will be suitable.
As well as applying to students and trainees, and those applying for the Qualified Lawyers Transfer Scheme (QLTS), the suitability test will be applied to non-solicitors applying to own and/or manage new alternative business structures which we will start to regulate in early 2012.
The test will also apply to those holding compliance roles in organisations regulated by the SRA. The roles in question are compliance officer for legal practice and compliance officer for finance and administration. This will enable us to meet our duty under the Legal Services Act to ensure such roles are only held by those who satisfy us that they are fit and proper.
Applications received up to 5 October will be subject to the existing character and suitability guidelines for a first decision. Any appeal or review will be judged against the same guidelines. Applications received on or after 6 October will be assessed using the new suitability test.
The full criteria against which we will be making decisions on suitability can be found on the SRA’s website. This is the last column I will be writing under the rules-based regulatory system. 6 October heralds a radical change for the legal profession and represents the culmination of a demanding year for the organisation and the profession, but I am confident that, in partnership with those we regulate, we will deliver.
Please remember that by 6 October you need to change the wording on all letterheads, websites and emails from ‘regulated by the Solicitors Regulation Authority’ to ‘authorised and regulated by the Solicitors Regulation Authority’.
You will also have been sent your unique code to activate your personal account on mySRA, the new system that will offer individual and firm-based online services from later this year. The SRA is phasing out its paper-based applications in 2011 so it is essential to activate your account by 14 October, which you can do by visiting the activation page.
I would like to take this opportunity to thank everyone who has contributed to making OFR a reality. I would particularly like to thank the profession for the way it is embracing the changes – we look forward to continuing to work with you collaboratively in the new regulatory landscape.
Charles Plant is chair of the board of the Solicitors Regulation Authority
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