---
title: "England and Wales: firm controls checklist for AI, built on the SRA warning notice on misuse of AI (17 August 2026)"
url: "https://ailawframework.com/precedents/ai-decision-systems/uk-sra-ai-misuse-controls-checklist"
type: "precedent"
site: "AI Law Framework"
id: "a45-uk-sra-ai-misuse-controls-checklist"
area_id: "A45"
kind: "checklist"
ai_level: "yellow"
version: 1
law_stated_as_at: "2026-11-07"
---

# England and Wales: firm controls checklist for AI, built on the SRA warning notice on misuse of AI (17 August 2026)

> Firm controls checklist built on the SRA's 17 August 2026 warning notice on misuse of AI: citation checks before anything goes to court, supervision of juniors, and client confidentiality in AI tools.

Canonical page: https://ailawframework.com/precedents/ai-decision-systems/uk-sra-ai-misuse-controls-checklist  
Law stated as at: 2026-11-07

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

- Kind: Checklist. Steps or checks to work through and tick off.
- Practice area: [AI decision systems](https://ailawframework.com/precedents/ai-decision-systems.md)
- Jurisdictions: United Kingdom (England and Wales)
- AI level: Yellow. You and the tool draft together, with you directing. You check every statement you rely on.
- Law stated as at: 2026-11-07
- Status: Maintained. Checked on 2026-11-07 against the 3 authorities it cites, for United Kingdom (England and Wales).

## When to use it

Use when an SRA-regulated firm adopts or reviews its AI controls, after an AI-related near miss, or when the COLP reports on compliance. It maps each control to the Code of Conduct for Firms and the Code for Solicitors paragraphs the warning notice cites.

## How AI may be used

A tool may map the firm's existing controls to the checklist and list gaps. The COLP and a manager decide whether each control is adequate.

**AI may:**

- Match the firm's policies and records to each control
- Draft a gap list for the COLP

**AI must not:**

- Must not mark a control as effective
- Must not decide whether a matter is reportable to the SRA

**The lawyer checks:**

- Each control exists in practice, not only on paper
- Supervisors of junior and unregulated staff check AI-assisted court documents
- Client data goes only into AI tools with contractual, technical and organisational safeguards

## Authorities

- [Solicitors Regulation Authority, Misuse of AI: warning notice (published 17 August 2026)](https://www.sra.org.uk/solicitors/guidance/misuse-ai/)
- [SRA Code of Conduct for Firms, paras 2.1 (governance, systems and controls), 2.2 (records), 4.3 (competence of managers and employees), 4.4 (supervision system) and 6.3 (confidentiality)](https://www.sra.org.uk/solicitors/standards-regulations/code-conduct-firms/)
- [R (Ayinde) v London Borough of Haringey; Al-Haroun v Qatar National Bank 2025 EWHC 1383 (Admin)](https://www.judiciary.uk/wp-content/uploads/2025/06/Ayinde-v-London-Borough-of-Haringey-and-Al-Haroun-v-Qatar-National-Bank.pdf)

## Full text and drafting notes

The full text and the drafting notes are not part of this public page. Signed-in firm accounts can read them at https://ailawframework.com/precedents/ai-decision-systems/uk-sra-ai-misuse-controls-checklist and through the signed-in MCP connector https://ailawframework.com/mcp/firm.

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*