Change in Administrative Process

Stuart Hardwicke CARRUTHERS made this Freedom of Information request to Solicitors Regulation Authority

This request has been closed to new correspondence from the public body. Contact us if you think it ought be re-opened.

The request was successful.

Stuart Hardwicke CARRUTHERS

Dear Solicitors Regulation Authority,

I have been informed that the SRA have recently changed its administrative processes and now investigate complaints against lawyers employed in the public sector and provide a decision notice as to the results of its investigations. Please provide copies of all documents that informed this change in process.

Yours faithfully,

Stuart Hardwicke Carruthers

Joao Curro,

1 Attachment

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Thank you for your emails dated 25 and 26 November 2014 the Solicitors
Regulation Authority (“SRA”) requesting information. I am treating this as
one information request under the Law Society Freedom of Information Code
of Practice ("the Code"), under one single reference.

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.     I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

 

2.     Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

 

3.     Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

 

4      Since 1997, How many solicitors have been reported to the SRA from 
the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

5      The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

What scores are required for intervention by the SRA ?

 

What RIS is tolerated by the SRA ?

 

 

6      Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

 

 

The SRA is a part of the Law Society but acts independently in carrying
out its regulatory functions. The Law Society is not covered by the
Freedom of Information Act (the FOIA) as it is not a designated authority,
but has adopted its own voluntary Code of Practice which closely reflects
the FOIA. The Code may be found at:

[1]http://www.lawsociety.org.uk/Get-in-touc...

 

The Code applies to all information held by the Society, including the
SRA, and the Information Compliance Team deals with all requests received
under the Code. We will not share information relating to your request
across the Law Society Group.

 

I am currently dealing with your request. Bob Stanley, Information
Compliance Manager, will aim to respond formally by 24 December 2014 which
is 20 working days from the receipt of your request.

 

Your sincerely

 

Joao Curro

Information Compliance Officer

The Law Society, 113 Chancery Lane, London WC2A 1PL

t: 020 7242 1222 (Ext 4539)

f: 020 7320 5685

[2]www.lawsociety.org.uk
[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.lawsociety.org.uk/Get-in-touc...
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

1 Attachment

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Thank you for your emails dated 25 and 26 November 2014 the Solicitors
Regulation Authority (“SRA”) requesting information. I am treating this as
one information request under the Law Society Freedom of Information Code
of Practice ("the Code"), under one single reference.

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.     I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

 

2.     Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

 

3.     Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

 

4      Since 1997, How many solicitors have been reported to the SRA from 
the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

5      The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

What scores are required for intervention by the SRA ?

 

What RIS is tolerated by the SRA ?

 

 

6      Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

 

 

The SRA is a part of the Law Society but acts independently in carrying
out its regulatory functions. The Law Society is not covered by the
Freedom of Information Act (the FOIA) as it is not a designated authority,
but has adopted its own voluntary Code of Practice which closely reflects
the FOIA. The Code may be found at:

[1]http://www.lawsociety.org.uk/Get-in-touc...

 

The Code applies to all information held by the Society, including the
SRA, and the Information Compliance Team deals with all requests received
under the Code. We will not share information relating to your request
across the Law Society Group.

 

I am currently dealing with your request. Bob Stanley, Information
Compliance Manager, will aim to respond formally by 24 December 2014 which
is 20 working days from the receipt of your request.

 

Your sincerely

 

Joao Curro

Information Compliance Officer

The Law Society, 113 Chancery Lane, London WC2A 1PL

t: 020 7242 1222 (Ext 4539)

f: 020 7320 5685

[2]www.lawsociety.org.uk
[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.lawsociety.org.uk/Get-in-touc...
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

1 Attachment

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Thank you for your emails dated 25 and 26 November 2014 the Solicitors
Regulation Authority (“SRA”) requesting information. I am treating this as
one information request under the Law Society Freedom of Information Code
of Practice ("the Code"), under one single reference.

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.     I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

 

2.     Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

 

3.     Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

 

4      Since 1997, How many solicitors have been reported to the SRA from 
the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

5      The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

What scores are required for intervention by the SRA ?

 

What RIS is tolerated by the SRA ?

 

 

6      Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

 

 

The SRA is a part of the Law Society but acts independently in carrying
out its regulatory functions. The Law Society is not covered by the
Freedom of Information Act (the FOIA) as it is not a designated authority,
but has adopted its own voluntary Code of Practice which closely reflects
the FOIA. The Code may be found at:

[1]http://www.lawsociety.org.uk/Get-in-touc...

 

The Code applies to all information held by the Society, including the
SRA, and the Information Compliance Team deals with all requests received
under the Code. We will not share information relating to your request
across the Law Society Group.

 

I am currently dealing with your request. Bob Stanley, Information
Compliance Manager, will aim to respond formally by 24 December 2014 which
is 20 working days from the receipt of your request.

 

Your sincerely

 

Joao Curro

Information Compliance Officer

The Law Society, 113 Chancery Lane, London WC2A 1PL

t: 020 7242 1222 (Ext 4539)

f: 020 7320 5685

[2]www.lawsociety.org.uk
[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.lawsociety.org.uk/Get-in-touc...
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

1 Attachment

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Thank you for your emails dated 25 and 26 November 2014 the Solicitors
Regulation Authority (“SRA”) requesting information. I am treating this as
one information request under the Law Society Freedom of Information Code
of Practice ("the Code"), under one single reference.

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.     I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

 

2.     Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

 

3.     Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

 

4      Since 1997, How many solicitors have been reported to the SRA from 
the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

5      The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

What scores are required for intervention by the SRA ?

 

What RIS is tolerated by the SRA ?

 

 

6      Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

 

 

The SRA is a part of the Law Society but acts independently in carrying
out its regulatory functions. The Law Society is not covered by the
Freedom of Information Act (the FOIA) as it is not a designated authority,
but has adopted its own voluntary Code of Practice which closely reflects
the FOIA. The Code may be found at:

[1]http://www.lawsociety.org.uk/Get-in-touc...

 

The Code applies to all information held by the Society, including the
SRA, and the Information Compliance Team deals with all requests received
under the Code. We will not share information relating to your request
across the Law Society Group.

 

I am currently dealing with your request. Bob Stanley, Information
Compliance Manager, will aim to respond formally by 24 December 2014 which
is 20 working days from the receipt of your request.

 

Your sincerely

 

Joao Curro

Information Compliance Officer

The Law Society, 113 Chancery Lane, London WC2A 1PL

t: 020 7242 1222 (Ext 4539)

f: 020 7320 5685

[2]www.lawsociety.org.uk
[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.lawsociety.org.uk/Get-in-touc...
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

1 Attachment

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Thank you for your emails dated 25 and 26 November 2014 the Solicitors
Regulation Authority (“SRA”) requesting information. I am treating this as
one information request under the Law Society Freedom of Information Code
of Practice ("the Code"), under one single reference.

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.     I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

 

2.     Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

 

3.     Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

 

4      Since 1997, How many solicitors have been reported to the SRA from 
the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

5      The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

What scores are required for intervention by the SRA ?

 

What RIS is tolerated by the SRA ?

 

 

6      Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

 

 

The SRA is a part of the Law Society but acts independently in carrying
out its regulatory functions. The Law Society is not covered by the
Freedom of Information Act (the FOIA) as it is not a designated authority,
but has adopted its own voluntary Code of Practice which closely reflects
the FOIA. The Code may be found at:

[1]http://www.lawsociety.org.uk/Get-in-touc...

 

The Code applies to all information held by the Society, including the
SRA, and the Information Compliance Team deals with all requests received
under the Code. We will not share information relating to your request
across the Law Society Group.

 

I am currently dealing with your request. Bob Stanley, Information
Compliance Manager, will aim to respond formally by 24 December 2014 which
is 20 working days from the receipt of your request.

 

Your sincerely

 

Joao Curro

Information Compliance Officer

The Law Society, 113 Chancery Lane, London WC2A 1PL

t: 020 7242 1222 (Ext 4539)

f: 020 7320 5685

[2]www.lawsociety.org.uk
[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.lawsociety.org.uk/Get-in-touc...
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

1 Attachment

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Thank you for your emails dated 25 and 26 November 2014 the Solicitors
Regulation Authority (“SRA”) requesting information. I am treating this as
one information request under the Law Society Freedom of Information Code
of Practice ("the Code"), under one single reference.

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.     I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

 

2.     Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

 

3.     Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

 

4      Since 1997, How many solicitors have been reported to the SRA from 
the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

5      The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

What scores are required for intervention by the SRA ?

 

What RIS is tolerated by the SRA ?

 

 

6      Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

 

 

The SRA is a part of the Law Society but acts independently in carrying
out its regulatory functions. The Law Society is not covered by the
Freedom of Information Act (the FOIA) as it is not a designated authority,
but has adopted its own voluntary Code of Practice which closely reflects
the FOIA. The Code may be found at:

[1]http://www.lawsociety.org.uk/Get-in-touc...

 

The Code applies to all information held by the Society, including the
SRA, and the Information Compliance Team deals with all requests received
under the Code. We will not share information relating to your request
across the Law Society Group.

 

I am currently dealing with your request. Bob Stanley, Information
Compliance Manager, will aim to respond formally by 24 December 2014 which
is 20 working days from the receipt of your request.

 

Your sincerely

 

Joao Curro

Information Compliance Officer

The Law Society, 113 Chancery Lane, London WC2A 1PL

t: 020 7242 1222 (Ext 4539)

f: 020 7320 5685

[2]www.lawsociety.org.uk
[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.lawsociety.org.uk/Get-in-touc...
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

3 Attachments

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Further to my colleague Joao Curro’s email of 27 November 2014, please
find below the response to your information request under the Law
Society’s Freedom of Information Code of Practice ("the Code").

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.       I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

The Solicitors Regulation Authority (‘SRA’) has always considered reports
about a regulated individual who may be employed in the public sector. 
The SRA’s approach changed on 3 November whereby the SRA will now provide
an outcome to the person who made the report to the SRA. The SRA website
is in the process of being updated.

 

 

2.       Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

Please find attached a spreadsheet containing the requested information.
This looks for any risk assessment between 2009 and 2014 to date where an
organisation was listed as a subject of the following types:  Government
Funded Service, Government Legal Services, Government/Statutory Body,
Government Body, Health Service or Local Government Body. It also shows
any matters against individuals that held posts in these organisations at
the point when the allegation was made (please note that it may not have
been about work done within these organisations).

 

The data is in a pivot table on the “Data” tab so please note you can see
the individual matter detail by double clicking any of the numbers.

 

 

3.       Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

This information is not held. It is not the case that complaints against
solicitors employed in the public sector are not investigated.

 

All  allegations received by the SRA are risk assessed under the process
described below. It is under this process that a decision is made as to
whether to refer a matter to the SRA Supervision for further
investigation. All allegations receive some form of investigation through
the risk assessment process.

 

 

4         Since 1997, How many solicitors have been reported to the SRA
from  the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

Please refer to the list of matters where these specific organisations are
listed as subjects for you to consider on the tab named “Matters against
specified Orga.” .

 

 

5         The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

 

Green – Below 11.5

Amber - Between 11.5 & 25

Red – Over 25

 

 

What scores are required for intervention by the SRA ?

 

As above - The 2 are not directly interlinked. The Risk Assessment is an
assessment of each and every report that the SRA receives from the public,
profession, other regulators, internal SRA Units, etc. The assessment is
based on this information provided in that particular report. The SRA risk
assesses and records this information and it allows the SRA to build a
picture of the level of risk posed by different regulated firms. When the
SRA decides to take regulatory action (including an intervention) against
a particular firm or individual, this is done on the basis of all the
information that the SRA holds on the firm or individual rather than on
the basis of a single report /risk assessment.

 

 

What RIS is tolerated by the SRA ?

 

The risk assessment is an indicator of the level of risk posed in a single
report. This risk assessment must be considered alongside other
information that the SRA holds because that will have a bearing on any
decision to take further regulatory action or not.  As a rule of thumb,
Red and Amber matters will always be considered further. Green matters may
be considered further, if appropriate. There are a number of reasons why
Green matters might be considered further. Examples include shortcomings
within the report itself. The report may allege dishonesty – but not
include all the evidence in support of the allegation. It might be clear
that the evidence could be forthcoming if the SRA went back and asked for
it. There may also be specific patterns or trends within a firm around
particular risks which the SRA can see from the number of reports received
about that risk. This may indicate that the SRA needs to consider the
matter further.

 

 

6         Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

All incoming reports about regulated firms and individuals are risk
assessed against exactly the same criteria. There is no difference in the
way reports about regulated individuals in the public sector are assessed
to that of other regulated individuals. Full details about the way in
which the SRA risk assess incoming reports can be found on its website
at:-  [1]http://www.sra.org.uk/sra/strategy/risk.....

 

The risk assessment of an individual report and the determination of
whether the SRA is going to intervene are not directly interlinked.

 

The Risk Assessment is an assessment that is carried out on each report
that the SRA receives from the public, profession, other regulators,
internal SRA Units, etc. The SRA risk assesses and records this
information and it allows the SRA to build a picture of the level of risk
posed by different regulated firms. When the SRA decides to take
regulatory action (including an intervention) against a particular firm or
individual, this is done on the basis of all the information that the SRA
holds on the firm or individual rather than on the basis of a single
report /risk assessment.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

All regulated individuals and firms are assessed in the same way, against
the same criteria. This ensures that the SRA is being fair and transparent
in the way in which it regulates and there is no bias against any
particular groups of individuals or firms.

 

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

As above. The Risk Event scores are listed in the attached spreadsheet and
apply to all regulated individuals and firms.

 

 

I hope this information is of use.

 

Yours sincerely

 

Bob Stanley
Information Compliance Manager
The Law Society, 113 Chancery Lane, London WC2A 1PL
t: 020 7242 1222 (x4117)
f: 020 7320 5685
[2]www.lawsociety.org.uk

[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.sra.org.uk/sra/strategy/risk....
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

3 Attachments

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Further to my colleague Joao Curro’s email of 27 November 2014, please
find below the response to your information request under the Law
Society’s Freedom of Information Code of Practice ("the Code").

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.       I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

The Solicitors Regulation Authority (‘SRA’) has always considered reports
about a regulated individual who may be employed in the public sector. 
The SRA’s approach changed on 3 November whereby the SRA will now provide
an outcome to the person who made the report to the SRA. The SRA website
is in the process of being updated.

 

 

2.       Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

Please find attached a spreadsheet containing the requested information.
This looks for any risk assessment between 2009 and 2014 to date where an
organisation was listed as a subject of the following types:  Government
Funded Service, Government Legal Services, Government/Statutory Body,
Government Body, Health Service or Local Government Body. It also shows
any matters against individuals that held posts in these organisations at
the point when the allegation was made (please note that it may not have
been about work done within these organisations).

 

The data is in a pivot table on the “Data” tab so please note you can see
the individual matter detail by double clicking any of the numbers.

 

 

3.       Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

This information is not held. It is not the case that complaints against
solicitors employed in the public sector are not investigated.

 

All  allegations received by the SRA are risk assessed under the process
described below. It is under this process that a decision is made as to
whether to refer a matter to the SRA Supervision for further
investigation. All allegations receive some form of investigation through
the risk assessment process.

 

 

4         Since 1997, How many solicitors have been reported to the SRA
from  the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

Please refer to the list of matters where these specific organisations are
listed as subjects for you to consider on the tab named “Matters against
specified Orga.” .

 

 

5         The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

 

Green – Below 11.5

Amber - Between 11.5 & 25

Red – Over 25

 

 

What scores are required for intervention by the SRA ?

 

As above - The 2 are not directly interlinked. The Risk Assessment is an
assessment of each and every report that the SRA receives from the public,
profession, other regulators, internal SRA Units, etc. The assessment is
based on this information provided in that particular report. The SRA risk
assesses and records this information and it allows the SRA to build a
picture of the level of risk posed by different regulated firms. When the
SRA decides to take regulatory action (including an intervention) against
a particular firm or individual, this is done on the basis of all the
information that the SRA holds on the firm or individual rather than on
the basis of a single report /risk assessment.

 

 

What RIS is tolerated by the SRA ?

 

The risk assessment is an indicator of the level of risk posed in a single
report. This risk assessment must be considered alongside other
information that the SRA holds because that will have a bearing on any
decision to take further regulatory action or not.  As a rule of thumb,
Red and Amber matters will always be considered further. Green matters may
be considered further, if appropriate. There are a number of reasons why
Green matters might be considered further. Examples include shortcomings
within the report itself. The report may allege dishonesty – but not
include all the evidence in support of the allegation. It might be clear
that the evidence could be forthcoming if the SRA went back and asked for
it. There may also be specific patterns or trends within a firm around
particular risks which the SRA can see from the number of reports received
about that risk. This may indicate that the SRA needs to consider the
matter further.

 

 

6         Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

All incoming reports about regulated firms and individuals are risk
assessed against exactly the same criteria. There is no difference in the
way reports about regulated individuals in the public sector are assessed
to that of other regulated individuals. Full details about the way in
which the SRA risk assess incoming reports can be found on its website
at:-  [1]http://www.sra.org.uk/sra/strategy/risk.....

 

The risk assessment of an individual report and the determination of
whether the SRA is going to intervene are not directly interlinked.

 

The Risk Assessment is an assessment that is carried out on each report
that the SRA receives from the public, profession, other regulators,
internal SRA Units, etc. The SRA risk assesses and records this
information and it allows the SRA to build a picture of the level of risk
posed by different regulated firms. When the SRA decides to take
regulatory action (including an intervention) against a particular firm or
individual, this is done on the basis of all the information that the SRA
holds on the firm or individual rather than on the basis of a single
report /risk assessment.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

All regulated individuals and firms are assessed in the same way, against
the same criteria. This ensures that the SRA is being fair and transparent
in the way in which it regulates and there is no bias against any
particular groups of individuals or firms.

 

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

As above. The Risk Event scores are listed in the attached spreadsheet and
apply to all regulated individuals and firms.

 

 

I hope this information is of use.

 

Yours sincerely

 

Bob Stanley
Information Compliance Manager
The Law Society, 113 Chancery Lane, London WC2A 1PL
t: 020 7242 1222 (x4117)
f: 020 7320 5685
[2]www.lawsociety.org.uk

[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.sra.org.uk/sra/strategy/risk....
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

3 Attachments

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Further to my colleague Joao Curro’s email of 27 November 2014, please
find below the response to your information request under the Law
Society’s Freedom of Information Code of Practice ("the Code").

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.       I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

The Solicitors Regulation Authority (‘SRA’) has always considered reports
about a regulated individual who may be employed in the public sector. 
The SRA’s approach changed on 3 November whereby the SRA will now provide
an outcome to the person who made the report to the SRA. The SRA website
is in the process of being updated.

 

 

2.       Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

Please find attached a spreadsheet containing the requested information.
This looks for any risk assessment between 2009 and 2014 to date where an
organisation was listed as a subject of the following types:  Government
Funded Service, Government Legal Services, Government/Statutory Body,
Government Body, Health Service or Local Government Body. It also shows
any matters against individuals that held posts in these organisations at
the point when the allegation was made (please note that it may not have
been about work done within these organisations).

 

The data is in a pivot table on the “Data” tab so please note you can see
the individual matter detail by double clicking any of the numbers.

 

 

3.       Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

This information is not held. It is not the case that complaints against
solicitors employed in the public sector are not investigated.

 

All  allegations received by the SRA are risk assessed under the process
described below. It is under this process that a decision is made as to
whether to refer a matter to the SRA Supervision for further
investigation. All allegations receive some form of investigation through
the risk assessment process.

 

 

4         Since 1997, How many solicitors have been reported to the SRA
from  the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

Please refer to the list of matters where these specific organisations are
listed as subjects for you to consider on the tab named “Matters against
specified Orga.” .

 

 

5         The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

 

Green – Below 11.5

Amber - Between 11.5 & 25

Red – Over 25

 

 

What scores are required for intervention by the SRA ?

 

As above - The 2 are not directly interlinked. The Risk Assessment is an
assessment of each and every report that the SRA receives from the public,
profession, other regulators, internal SRA Units, etc. The assessment is
based on this information provided in that particular report. The SRA risk
assesses and records this information and it allows the SRA to build a
picture of the level of risk posed by different regulated firms. When the
SRA decides to take regulatory action (including an intervention) against
a particular firm or individual, this is done on the basis of all the
information that the SRA holds on the firm or individual rather than on
the basis of a single report /risk assessment.

 

 

What RIS is tolerated by the SRA ?

 

The risk assessment is an indicator of the level of risk posed in a single
report. This risk assessment must be considered alongside other
information that the SRA holds because that will have a bearing on any
decision to take further regulatory action or not.  As a rule of thumb,
Red and Amber matters will always be considered further. Green matters may
be considered further, if appropriate. There are a number of reasons why
Green matters might be considered further. Examples include shortcomings
within the report itself. The report may allege dishonesty – but not
include all the evidence in support of the allegation. It might be clear
that the evidence could be forthcoming if the SRA went back and asked for
it. There may also be specific patterns or trends within a firm around
particular risks which the SRA can see from the number of reports received
about that risk. This may indicate that the SRA needs to consider the
matter further.

 

 

6         Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

All incoming reports about regulated firms and individuals are risk
assessed against exactly the same criteria. There is no difference in the
way reports about regulated individuals in the public sector are assessed
to that of other regulated individuals. Full details about the way in
which the SRA risk assess incoming reports can be found on its website
at:-  [1]http://www.sra.org.uk/sra/strategy/risk.....

 

The risk assessment of an individual report and the determination of
whether the SRA is going to intervene are not directly interlinked.

 

The Risk Assessment is an assessment that is carried out on each report
that the SRA receives from the public, profession, other regulators,
internal SRA Units, etc. The SRA risk assesses and records this
information and it allows the SRA to build a picture of the level of risk
posed by different regulated firms. When the SRA decides to take
regulatory action (including an intervention) against a particular firm or
individual, this is done on the basis of all the information that the SRA
holds on the firm or individual rather than on the basis of a single
report /risk assessment.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

All regulated individuals and firms are assessed in the same way, against
the same criteria. This ensures that the SRA is being fair and transparent
in the way in which it regulates and there is no bias against any
particular groups of individuals or firms.

 

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

As above. The Risk Event scores are listed in the attached spreadsheet and
apply to all regulated individuals and firms.

 

 

I hope this information is of use.

 

Yours sincerely

 

Bob Stanley
Information Compliance Manager
The Law Society, 113 Chancery Lane, London WC2A 1PL
t: 020 7242 1222 (x4117)
f: 020 7320 5685
[2]www.lawsociety.org.uk

[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.sra.org.uk/sra/strategy/risk....
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

3 Attachments

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Further to my colleague Joao Curro’s email of 27 November 2014, please
find below the response to your information request under the Law
Society’s Freedom of Information Code of Practice ("the Code").

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.       I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

The Solicitors Regulation Authority (‘SRA’) has always considered reports
about a regulated individual who may be employed in the public sector. 
The SRA’s approach changed on 3 November whereby the SRA will now provide
an outcome to the person who made the report to the SRA. The SRA website
is in the process of being updated.

 

 

2.       Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

Please find attached a spreadsheet containing the requested information.
This looks for any risk assessment between 2009 and 2014 to date where an
organisation was listed as a subject of the following types:  Government
Funded Service, Government Legal Services, Government/Statutory Body,
Government Body, Health Service or Local Government Body. It also shows
any matters against individuals that held posts in these organisations at
the point when the allegation was made (please note that it may not have
been about work done within these organisations).

 

The data is in a pivot table on the “Data” tab so please note you can see
the individual matter detail by double clicking any of the numbers.

 

 

3.       Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

This information is not held. It is not the case that complaints against
solicitors employed in the public sector are not investigated.

 

All  allegations received by the SRA are risk assessed under the process
described below. It is under this process that a decision is made as to
whether to refer a matter to the SRA Supervision for further
investigation. All allegations receive some form of investigation through
the risk assessment process.

 

 

4         Since 1997, How many solicitors have been reported to the SRA
from  the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

Please refer to the list of matters where these specific organisations are
listed as subjects for you to consider on the tab named “Matters against
specified Orga.” .

 

 

5         The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

 

Green – Below 11.5

Amber - Between 11.5 & 25

Red – Over 25

 

 

What scores are required for intervention by the SRA ?

 

As above - The 2 are not directly interlinked. The Risk Assessment is an
assessment of each and every report that the SRA receives from the public,
profession, other regulators, internal SRA Units, etc. The assessment is
based on this information provided in that particular report. The SRA risk
assesses and records this information and it allows the SRA to build a
picture of the level of risk posed by different regulated firms. When the
SRA decides to take regulatory action (including an intervention) against
a particular firm or individual, this is done on the basis of all the
information that the SRA holds on the firm or individual rather than on
the basis of a single report /risk assessment.

 

 

What RIS is tolerated by the SRA ?

 

The risk assessment is an indicator of the level of risk posed in a single
report. This risk assessment must be considered alongside other
information that the SRA holds because that will have a bearing on any
decision to take further regulatory action or not.  As a rule of thumb,
Red and Amber matters will always be considered further. Green matters may
be considered further, if appropriate. There are a number of reasons why
Green matters might be considered further. Examples include shortcomings
within the report itself. The report may allege dishonesty – but not
include all the evidence in support of the allegation. It might be clear
that the evidence could be forthcoming if the SRA went back and asked for
it. There may also be specific patterns or trends within a firm around
particular risks which the SRA can see from the number of reports received
about that risk. This may indicate that the SRA needs to consider the
matter further.

 

 

6         Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

All incoming reports about regulated firms and individuals are risk
assessed against exactly the same criteria. There is no difference in the
way reports about regulated individuals in the public sector are assessed
to that of other regulated individuals. Full details about the way in
which the SRA risk assess incoming reports can be found on its website
at:-  [1]http://www.sra.org.uk/sra/strategy/risk.....

 

The risk assessment of an individual report and the determination of
whether the SRA is going to intervene are not directly interlinked.

 

The Risk Assessment is an assessment that is carried out on each report
that the SRA receives from the public, profession, other regulators,
internal SRA Units, etc. The SRA risk assesses and records this
information and it allows the SRA to build a picture of the level of risk
posed by different regulated firms. When the SRA decides to take
regulatory action (including an intervention) against a particular firm or
individual, this is done on the basis of all the information that the SRA
holds on the firm or individual rather than on the basis of a single
report /risk assessment.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

All regulated individuals and firms are assessed in the same way, against
the same criteria. This ensures that the SRA is being fair and transparent
in the way in which it regulates and there is no bias against any
particular groups of individuals or firms.

 

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

As above. The Risk Event scores are listed in the attached spreadsheet and
apply to all regulated individuals and firms.

 

 

I hope this information is of use.

 

Yours sincerely

 

Bob Stanley
Information Compliance Manager
The Law Society, 113 Chancery Lane, London WC2A 1PL
t: 020 7242 1222 (x4117)
f: 020 7320 5685
[2]www.lawsociety.org.uk

[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.sra.org.uk/sra/strategy/risk....
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

3 Attachments

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Further to my colleague Joao Curro’s email of 27 November 2014, please
find below the response to your information request under the Law
Society’s Freedom of Information Code of Practice ("the Code").

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.       I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

The Solicitors Regulation Authority (‘SRA’) has always considered reports
about a regulated individual who may be employed in the public sector. 
The SRA’s approach changed on 3 November whereby the SRA will now provide
an outcome to the person who made the report to the SRA. The SRA website
is in the process of being updated.

 

 

2.       Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

Please find attached a spreadsheet containing the requested information.
This looks for any risk assessment between 2009 and 2014 to date where an
organisation was listed as a subject of the following types:  Government
Funded Service, Government Legal Services, Government/Statutory Body,
Government Body, Health Service or Local Government Body. It also shows
any matters against individuals that held posts in these organisations at
the point when the allegation was made (please note that it may not have
been about work done within these organisations).

 

The data is in a pivot table on the “Data” tab so please note you can see
the individual matter detail by double clicking any of the numbers.

 

 

3.       Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

This information is not held. It is not the case that complaints against
solicitors employed in the public sector are not investigated.

 

All  allegations received by the SRA are risk assessed under the process
described below. It is under this process that a decision is made as to
whether to refer a matter to the SRA Supervision for further
investigation. All allegations receive some form of investigation through
the risk assessment process.

 

 

4         Since 1997, How many solicitors have been reported to the SRA
from  the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

Please refer to the list of matters where these specific organisations are
listed as subjects for you to consider on the tab named “Matters against
specified Orga.” .

 

 

5         The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

 

Green – Below 11.5

Amber - Between 11.5 & 25

Red – Over 25

 

 

What scores are required for intervention by the SRA ?

 

As above - The 2 are not directly interlinked. The Risk Assessment is an
assessment of each and every report that the SRA receives from the public,
profession, other regulators, internal SRA Units, etc. The assessment is
based on this information provided in that particular report. The SRA risk
assesses and records this information and it allows the SRA to build a
picture of the level of risk posed by different regulated firms. When the
SRA decides to take regulatory action (including an intervention) against
a particular firm or individual, this is done on the basis of all the
information that the SRA holds on the firm or individual rather than on
the basis of a single report /risk assessment.

 

 

What RIS is tolerated by the SRA ?

 

The risk assessment is an indicator of the level of risk posed in a single
report. This risk assessment must be considered alongside other
information that the SRA holds because that will have a bearing on any
decision to take further regulatory action or not.  As a rule of thumb,
Red and Amber matters will always be considered further. Green matters may
be considered further, if appropriate. There are a number of reasons why
Green matters might be considered further. Examples include shortcomings
within the report itself. The report may allege dishonesty – but not
include all the evidence in support of the allegation. It might be clear
that the evidence could be forthcoming if the SRA went back and asked for
it. There may also be specific patterns or trends within a firm around
particular risks which the SRA can see from the number of reports received
about that risk. This may indicate that the SRA needs to consider the
matter further.

 

 

6         Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

All incoming reports about regulated firms and individuals are risk
assessed against exactly the same criteria. There is no difference in the
way reports about regulated individuals in the public sector are assessed
to that of other regulated individuals. Full details about the way in
which the SRA risk assess incoming reports can be found on its website
at:-  [1]http://www.sra.org.uk/sra/strategy/risk.....

 

The risk assessment of an individual report and the determination of
whether the SRA is going to intervene are not directly interlinked.

 

The Risk Assessment is an assessment that is carried out on each report
that the SRA receives from the public, profession, other regulators,
internal SRA Units, etc. The SRA risk assesses and records this
information and it allows the SRA to build a picture of the level of risk
posed by different regulated firms. When the SRA decides to take
regulatory action (including an intervention) against a particular firm or
individual, this is done on the basis of all the information that the SRA
holds on the firm or individual rather than on the basis of a single
report /risk assessment.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

All regulated individuals and firms are assessed in the same way, against
the same criteria. This ensures that the SRA is being fair and transparent
in the way in which it regulates and there is no bias against any
particular groups of individuals or firms.

 

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

As above. The Risk Event scores are listed in the attached spreadsheet and
apply to all regulated individuals and firms.

 

 

I hope this information is of use.

 

Yours sincerely

 

Bob Stanley
Information Compliance Manager
The Law Society, 113 Chancery Lane, London WC2A 1PL
t: 020 7242 1222 (x4117)
f: 020 7320 5685
[2]www.lawsociety.org.uk

[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.sra.org.uk/sra/strategy/risk....
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...

Joao Curro,

3 Attachments

Dear Mr Carruthers

 

Freedom of Information Request – Our Ref: FOI/BS/1320

 

Further to my colleague Joao Curro’s email of 27 November 2014, please
find below the response to your information request under the Law
Society’s Freedom of Information Code of Practice ("the Code").

 

For ease of reference I have numbered your emails 1-6. You have requested
access to the following information:

 

 

1.       I have been informed that the SRA have recently changed its
administrative processes and now investigate complaints against lawyers
employed in the public sector and provide a decision notice as to the
results of its investigations. Please provide copies of all documents that
informed this change in process.

 

The Solicitors Regulation Authority (‘SRA’) has always considered reports
about a regulated individual who may be employed in the public sector. 
The SRA’s approach changed on 3 November whereby the SRA will now provide
an outcome to the person who made the report to the SRA. The SRA website
is in the process of being updated.

 

 

2.       Please provide details of the number of complaints made against
lawyers employed in local government over the last six years with details
of their employer (i.e. Council). Please additionally identify the number
of investigations conducted and those taken forward to the Solicitors
Disciplinary Tribunal by the SRA.

 

Please find attached a spreadsheet containing the requested information.
This looks for any risk assessment between 2009 and 2014 to date where an
organisation was listed as a subject of the following types:  Government
Funded Service, Government Legal Services, Government/Statutory Body,
Government Body, Health Service or Local Government Body. It also shows
any matters against individuals that held posts in these organisations at
the point when the allegation was made (please note that it may not have
been about work done within these organisations).

 

The data is in a pivot table on the “Data” tab so please note you can see
the individual matter detail by double clicking any of the numbers.

 

 

3.       Please provide copies of all documents identifying:

 

a) that complaints against solicitors employed in the public sector
(particularly local government) should not be investigated, and a decision
notice provided to an aggrieved party;

b) copies of all requests from the Lord Chancellor and / or Ministry of
Justice / any Government Dept  that complaints against solicitors employed
in the public sector (particularly local government) should not be
investigated, and a decision notice provided to an aggrieved party;

c) copies of all requests from the Courts or members of the Judiciary that
complaints against solicitors employed in the public sector (particularly
local government) should not be investigated, and a decision notice
provided to an aggrieved party;

d) details of all documented regulatory impacts  with this aspect of the
SRA decision making;

e) copies of all documents supplied to solicitors employed in Local
Government that are now subject to SRA regulation and that there are
sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government;

f) copies of all documents provided to the insurers of solicitors employed
in Local Government that are now subject to SRA regulation and that there
are sanctions and consequences due to the recent change in administrative
processes of the SRA to process complaints against solicitors employed in
local government.

 

This information is not held. It is not the case that complaints against
solicitors employed in the public sector are not investigated.

 

All  allegations received by the SRA are risk assessed under the process
described below. It is under this process that a decision is made as to
whether to refer a matter to the SRA Supervision for further
investigation. All allegations receive some form of investigation through
the risk assessment process.

 

 

4         Since 1997, How many solicitors have been reported to the SRA
from  the following:-

 

nplaw (Norfolk County Council)

South Norfolk District Council,

Sprake & Kingsley Solicitors of Bungay

 

For each law firm, and each allegation, please provide the category  the
report falls into, ie investigated, risk assessed etc.

 

Please provide a redacted copy of all risk assessments and  investigations
for the firms.

 

 

Please refer to the list of matters where these specific organisations are
listed as subjects for you to consider on the tab named “Matters against
specified Orga.” .

 

 

5         The SRA identifies that it has a risk assessment methodology

 

Event Score * Impact Score * Source Credibility * Strength of Evidence

 

and that the Regulatory Impact Score ('RIS') is the sum of these outputs
and that this is identified as Red, Amber or Green.

 

What are the scores for Red, Amber and Green ?

 

 

Green – Below 11.5

Amber - Between 11.5 & 25

Red – Over 25

 

 

What scores are required for intervention by the SRA ?

 

As above - The 2 are not directly interlinked. The Risk Assessment is an
assessment of each and every report that the SRA receives from the public,
profession, other regulators, internal SRA Units, etc. The assessment is
based on this information provided in that particular report. The SRA risk
assesses and records this information and it allows the SRA to build a
picture of the level of risk posed by different regulated firms. When the
SRA decides to take regulatory action (including an intervention) against
a particular firm or individual, this is done on the basis of all the
information that the SRA holds on the firm or individual rather than on
the basis of a single report /risk assessment.

 

 

What RIS is tolerated by the SRA ?

 

The risk assessment is an indicator of the level of risk posed in a single
report. This risk assessment must be considered alongside other
information that the SRA holds because that will have a bearing on any
decision to take further regulatory action or not.  As a rule of thumb,
Red and Amber matters will always be considered further. Green matters may
be considered further, if appropriate. There are a number of reasons why
Green matters might be considered further. Examples include shortcomings
within the report itself. The report may allege dishonesty – but not
include all the evidence in support of the allegation. It might be clear
that the evidence could be forthcoming if the SRA went back and asked for
it. There may also be specific patterns or trends within a firm around
particular risks which the SRA can see from the number of reports received
about that risk. This may indicate that the SRA needs to consider the
matter further.

 

 

6         Please provide details of the risk assessment used by SRA for
lawyers from the public sector identified as having breached the SRA codes
and the different weightings applied to determine if there should be
intervention taken.

 

All incoming reports about regulated firms and individuals are risk
assessed against exactly the same criteria. There is no difference in the
way reports about regulated individuals in the public sector are assessed
to that of other regulated individuals. Full details about the way in
which the SRA risk assess incoming reports can be found on its website
at:-  [1]http://www.sra.org.uk/sra/strategy/risk.....

 

The risk assessment of an individual report and the determination of
whether the SRA is going to intervene are not directly interlinked.

 

The Risk Assessment is an assessment that is carried out on each report
that the SRA receives from the public, profession, other regulators,
internal SRA Units, etc. The SRA risk assesses and records this
information and it allows the SRA to build a picture of the level of risk
posed by different regulated firms. When the SRA decides to take
regulatory action (including an intervention) against a particular firm or
individual, this is done on the basis of all the information that the SRA
holds on the firm or individual rather than on the basis of a single
report /risk assessment.

 

Please additionally provide copies of any documents available as to why
the SRA appear to fail to differentiate between lawyers from the private
and public sectors in their risk assessments.

 

All regulated individuals and firms are assessed in the same way, against
the same criteria. This ensures that the SRA is being fair and transparent
in the way in which it regulates and there is no bias against any
particular groups of individuals or firms.

 

 

The weightings applied to lawyers from the public and private sectors
should be different.. Please provide any advice from the Lord Chancellor
identifying that there should not be differentiation between the risks
affecting solicitors from the public and private sectors.

 

As above. The Risk Event scores are listed in the attached spreadsheet and
apply to all regulated individuals and firms.

 

 

I hope this information is of use.

 

Yours sincerely

 

Bob Stanley
Information Compliance Manager
The Law Society, 113 Chancery Lane, London WC2A 1PL
t: 020 7242 1222 (x4117)
f: 020 7320 5685
[2]www.lawsociety.org.uk

[3]Corporate Solutions Logo -wide.jpg

 

 

 

This e-mail is confidential. If you are not the intended recipient then
you must not copy it, forward it, use it for any purpose, or disclose it
to another person. Instead please return it to the sender immediately and
copy your communication to [email address]. Please then
delete your copy from your system. Please also note that the author of
this e-mail is not authorised to conclude any contract on behalf of the
Law Society by e-mail.

Stay up to date by registering for the Society’s e-newsletters at
[4]www.lawsociety.org.uk/newsandevents/newsletters.law

To help us improve our service, calls may be monitored or recorded for
quality and training purposes.
Thank you.

References

Visible links
1. http://www.sra.org.uk/sra/strategy/risk....
2. http://www.emailhosts.com/ct/ctcount.php...
4. http://www.lawsociety.org.uk/newsandeven...