SRA Handbook

Decisions: general

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Rule 7: Decisions: general

7.1

An SRA finding may be made by:

(a)

agreement between the person under investigation and the SRA;

(b)

a person duly authorised by the SRA;

(c)

a single adjudicator; or

(d)

an adjudication panel.

7.2

A disciplinary decision may be made by:

(a)

agreement between the person under investigation and the SRA;

(b)

a single adjudicator; or

(c)

an adjudication panel.

7.3

An SRA finding which does not involve a consequential disciplinary decision may incorporate or be accompanied by:

(a)

advice to the person as to the person's regulatory obligations;

(b)

a warning to the person as to future conduct.

7.4

An adjudication panel shall be properly constituted if at least two members are present.

7.5

Where an adjudication panel is comprised of three or more members, a decision may be made by a majority.

7.6

The strict rules of evidence shall not apply to decisions of the SRA.

7.7

The standard of proof shall be the civil standard.

7.8

Subject to rule 7.9, decisions will be made on consideration of the report described in rule 6.

7.9

An adjudicator or adjudication panel may give directions for the just, expeditious and effective conduct of a discipline investigation, which may include but are not limited to:

(a)

the provision of further evidence (including formal disclosure of documents which are relevant to the discipline investigation and certification that disclosure is full, frank and complete), representations or formal statements of case analogous to pleadings;

(b)

the admission of oral evidence;

(c)

where oral evidence is to be admitted, whether the evidence is to be considered in public or in private; and

(d)

the consequences of failure by a regulated person to comply with a direction, which may include the exclusion of evidence relevant to that direction from the discipline investigation.

7.10

The decision shall be made when it is sent to the person in writing. The decision will be accompanied with information in writing about any right of appeal within the SRA and any external right of appeal.