Pursuing a career in law is already a significant challenge without the added stress of worrying whether past mistakes could block your path to becoming a solicitor. Early-life convictions, cautions, academic disciplinary actions, or financial issues may all impact your eligibility for admission by the Solicitors Regulation Authority (SRA).
Fortunately, the SRA offers an early character and suitability assessment which allows prospective solicitors to understand whether their history might pose a barrier to entering the profession.
It is crucial that if you are in the middle of a university disciplinary procedure that consideration is given to the impact that this may have should you wish to pursue a future career as a solicitor.
What is the purpose of the SRA’s early character and suitability assessment
Prior to 2019, students underwent character checks during their training period. These assessments now occur at the point of applying for admission, which can be problematic for those uncertain about their past actions.
To address this, the SRA introduced the Assessment of Character and Suitability Rules in 2019. These rules allow applicants to request an early assessment if they are concerned their history might raise red flags during admission.
Why do you need to think about it in the context of a university disciplinary process?
As explained below, the SRA will take misconduct in an academic setting into account in its assessment of your character and suitability. This can include plagiarism, cheating in exams, misuse of AI tools and sexually inappropriate behaviour and/or other misconduct.
If you are going through a university disciplinary process you must have an eye on the impact that a negative finding may have on your future ability to become a solicitor. In particular, care should be given when you respond to allegations, attend interviews or hearings and make admissions. If in doubt, seek legal advice.
If a disciplinary finding is made against you and you do not want to embark on a lengthy training period without an indication as to whether the SRA will admit you at its completion, the SRA early assessment is available to you.
When and how to apply
You can apply for an early assessment at any time before submitting your admission application. The process starts by completing a screening through your mySRA account, which includes identity verification and a Disclosure and Barring Service (DBS) check.
Once screened, you can submit your application with supporting evidence. This usually includes:
- A personal statement explaining the incident(s) and demonstrating rehabilitation
- References from reputable individuals who know about the issue and can vouch for your character
- Any documentation that helps explain mitigating circumstances, insight or evidence of personal growth
The SRA may request further details or contact third parties. Delays or incomplete submissions can result in rejection.
Types of conduct the SRA considers
The SRA evaluates a wide range of issues, including:
- Criminal conduct: especially offences involving dishonesty, violence, perjury, or discrimination
- Academic misconduct: for example, plagiarism, collusion, contract cheating, false declarations, inappropriate behaviour
- Financial irresponsibility: bankruptcy, failure to manage debts, or company insolvency where you held a position of responsibility
The assessment test
The legal test, based on Jideofo and others v The Law Society [2007], places the burden on the applicant to prove on the balance of probabilities that their admission poses no risk to the public or public confidence in the profession.
The SRA considers aggravating and mitigating factors in its decision-making process.
What the SRA might decide
The SRA can:
- Confirm that you meet the character and suitability requirements
- Conclude that you do not
- Impose conditions on your future authorisation
Is the decision final?
No. The SRA’s decision in an early assessment is not binding on your final admission application. You also have a continuing obligation to inform the SRA of any new developments or changes to previously submitted information, even after qualifying.
Will the outcome be made public?
While the SRA can publish decisions if it serves the public interest, confidentiality concerns make publication unlikely in most early assessment cases.
What if your application is refused?
If the SRA is considering refusing your application, you will be given an opportunity to respond to any draft decision or report before a formal decision is made.
If your application is refused, you have 28 days to apply for a review, providing reasons and supporting evidence for reconsideration.
Following a refusal of an application, you may only make another one where there has been a material change in your circumstances relevant to your application.
further information
If you have questions regarding this blog, please contact Shannett Thompson in our Regulatory team.
about the author
Shannett Thompson is a Partner in the Regulatory team and is the firm’s Training Principal. She trained in the NHS and commenced her career exclusively defending doctors. She provides regulatory advice predominantly in the health and social care and education sectors.
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