The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
SRA Handbook
Appendix 3
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Appendix 3
Disqualification and Disqualification Review Criteria (Rules 3.4 and 9.5)
- 1
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In this appendix, the term "misconduct" shall mean conduct or behaviour resulting in an SRA finding.
- 2
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This criteria is to be used in conjunction with the tests set out at rules 3.3 and 9.4.
- 3
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In deciding whether to disqualify a person or to bring a disqualification to an end, the SRA will take into account all relevant circumstances, including that the aim of any disqualification should be:
- (a)
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for the disqualification to deter the regulated person or other persons from engaging in similar conduct in the future; or
- (b)
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to protect the public from a regulated person.
- 4
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Where there has been misconduct, the following support a decision to disqualify:
- (a)
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the conduct of the regulated person has caused significant loss or harm;
- (b)
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the regulated person has abused a position of trust;
- (c)
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the conduct of the regulated person has caused harm to or to the interests of a vulnerable person;
- (d)
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the conduct of the regulated person was motivated by any form of discrimination;
- (e)
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the conduct was deliberate, pre-meditated, repeated or reckless;
- (f)
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the conduct has put the public confidence in the regulation of the profession at risk; or
- (g)
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the conduct of the regulated person indicates that the person is unsuitable for the role being undertaken.
- 5
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Where there has been misconduct, the following support a decision not to disqualify:
- (a)
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the conduct was committed as a result of a genuine mistake or misunderstanding;
- (b)
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the regulated person has cooperated fully with the SRA;
- (c)
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the conduct was trivial; or
- (d)
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there is a low likelihood of repetition of the conduct.
- 6
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In deciding the appropriate duration of a disqualification without review in accordance with rule 9.2, the SRA shall take account of the factors set out at paragraphs 4 and 5 above.
- 7
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The following, collectively, support a decision to bring a disqualification to an end:
- (a)
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the disqualification has achieved any intended deterrent effect;
- (b)
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to do so would not present a risk to the public, which could include consideration of any complete and demonstrable rehabilitation on the part of the regulated person; and
- (c)
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to do so would not have an adverse impact upon the public confidence in the regulation of the profession.
- 8
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An absence of any one of the factors set out at paragraph 7(a)-(c) would support a decision not to bring a disqualification to an end.
- 9
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The factors set out above are not exhaustive and do not prevent the SRA from taking into account other factors that it considers to be relevant.