SRA Handbook

Appeals, Reviews and Reconsideration

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Version 20 of the Handbook was published on 01/10/2018. For more information, please click 'History' Above

Part 4: Appeals, Reviews and Reconsideration

Rule 11: Internal appeals

11.1

A person who is subject to an SRA finding or a disciplinary decision or a decision to determine an application made to the SRA under rule 9.2 may appeal under this rule against all or any part of such an SRA finding, or disciplinary decision (or both) or against all or any part of a decision to determine such an application.

11.2

There is no appeal under this rule against:

(a)

any decision other than those specified in rule 11.1;

(b)

a decision on an appeal; or

(c)

any decision which has been made by agreement with the SRA.

11.3

An appeal under this rule must be made within 14 calendar days of the date of the letter or electronic communication informing the person of the decision appealed against or within a longer time period specified by the SRA.

11.4

An appeal shall:

(a)

be in writing; and

(b)

provide reasoned arguments in support.

11.5

Appeals will be determined as follows:

(a)

where the decision was made by a person authorised by the SRA, the appeal will be decided by a single adjudicator;

(b)

where the decision was made by a single adjudicator, the appeal will be decided by an adjudication panel;

(c)

where the decision was made by an adjudication panel, the appeal will be decided by a differently constituted panel.

11.6

Appeals will be limited to a review of the decision which is being appealed, taking into account the reasoned arguments provided by the person bringing the appeal. Failure to provide reasoned arguments either at all or in sufficient or clear terms may result in summary dismissal of the appeal.

11.7

All powers available to the SRA on adjudication are exercisable on appeal and for the avoidance of doubt this means that, in relation to an appeal brought under rule 11.1, an appeal decision may include findings or sanctions more severe than those made or applied in the decision being appealed.

11.8

Nothing in these rules shall affect a person's right of appeal to the Tribunal under section 44E of the SA or paragraph 14C of Schedule 2 to the AJA or to the appellate body under section 96 of the LSA or rule 12 below.

Rule 12: Appeals to the Tribunal and the appellate body

12.1

Subject to any rules made by the appellate body or Legal Services Board, where the SRA has:

(a)

directed a licensed body, or the manager or employee of a licensed body, to pay a penalty;

(b)

decided to disqualify a person from acting as a HOLP or HOFA or from being a manager or employee;

(c)

decided not to bring a disqualification to an end following a review held under rule 9.4; or

(d)

decided to publish details of a written rebuke given to a licensed body, or the manager or employee of a licensed body;

the person subject to the direction or decision may appeal to the appellate body within the period of 28 days from the date on which the notice of the direction or decision is given to the appellant, or, if there has been a decision following an internal appeal, within the period of 28 days from the date on which the notice of that decision is given to the appellant.

12.2

Subject to any rules made by the Tribunal pursuant to section 46(9)(b) of the SA, an appeal to the Tribunal must be made within the period of 28 days from the date on which the notice of the direction or decision appealed against is given to the appellant or, if there has been a direction or decision following an internal appeal, the period of 28 days from the date on which the notice of that decision is given to the appellant.

12.3

If an appeal is made to the appellate body in relation to a direction or decision to disqualify a person from acting as a HOLP or HOFA or being a manager or employee, the appellant may apply to the appellate body for a stay of such decision pending the determination or discontinuance of the appeal.

12.4

If the appellate body imposes an order for a stay in relation to a decision in accordance with rule 12.3, the SRA shall stay the decision accordingly.

Rule 13: Reconsideration

13.1

The SRA may reconsider or rescind any decision made under these rules with the agreement of the person in respect of whom the decision was made.

13.2

In its absolute discretion the SRA may also reconsider any decision including an SRA finding, a disciplinary decision or authorisation of an application to the Tribunal when it appears that the person or panel who made the decision:

(a)

was not provided with material evidence that was available to the SRA;

(b)

was materially misled by any person;

(c)

failed to take proper account of material facts or evidence;

(d)

took into account immaterial facts or evidence;

(e)

made a material error of law;

(f)

made a decision which was otherwise irrational or procedurally unfair;

(g)

made a decision which was ultra vires; or

(h)

failed to give sufficient reasons.

13.3

The SRA, when considering the exercise of its powers under this rule, may also give directions for:

(a)

further investigations to be undertaken;

(b)

further information or explanation to be obtained from any person;

(c)

consideration of whether to authorise an application to the Tribunal;

(d)

the reconsideration of the decision to be undertaken by the original decision maker or adjudication panel or by a different decision maker or a differently constituted adjudication panel.

13.4

Nothing in these rules requires the SRA to commence or continue with any proceedings or prospective proceedings in the Tribunal or any other court or tribunal. A duly authorised person may rescind a decision to take proceedings in the Tribunal.