Source: http://www.sra.org.uk/solicitors/handbook/v1/qualificationregs/content.page
Timestamp: 2013-05-23 05:45:47
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SRA | SRA Handbook - Qualification Regulations - SRA Training Regulations 2011 - Part 1 Qualification Regs | Solicitors Regulation Authority
SRA Training Regulations 2011 - Part 1 Qualification Regs Version 1 (Superseded)
SRA Training Regulations 2011 Part 1 - Qualification Regulations
Preamble Authority: Made on 17 June 2011 by the Solicitors Regulation Authority Board under sections 2, 28, 79 and 80 of the Solicitors Act 1974, with the approval of the Legal Services Board under paragraph 19 of Schedule 4 to, the Legal Services Act 2007 Date: These regulations came into force on 6 October 2011
Replacing: The Solicitors' Training Regulations 2009 Regulating: Those people seeking to be admitted as solicitors, including students and trainee solicitors, but does not apply to those seeking admission under the SRA Qualified Lawyers Transfer Scheme Regulations 2011.
Overview Outcomes-focused regulation concentrates on providing positive outcomes, which when achieved, will benefit and protect clients and the public. These regulations, together with the SRA Training Regulations Part 2 - Training Provider Regulations and Part 3 - CPD Regulations, form the SRA Training Regulations, which set out the outcomes-focused requirements governing the education and training for people seeking to be admitted as solicitors, and those in practice. Education and training underpins the regulation of solicitors - it ensures the creation of competent and ethical practitioners. We regulate and set requirements for all stages of pre-qualification training in order to give students and trainees the tools they need to adhere to the Principles when they are admitted as solicitors. The Principles These regulations form part of the Handbook, in which the 10 mandatory Principles are all-pervasive. They apply to all those we regulate and to all aspects of practice. Outcomes relevant to education and training are listed beneath the Principles. You must: uphold the rule of law and the proper administration of justice; act with integrity; not allow your independence to be compromised; act in the best interests of each client; provide a proper standard of service to your clients; behave in a way that maintains the trust the public places in you and in the provision of legal services; comply with your legal and regulatory obligations and deal with your regulators and ombudsmen in an open, timely and co-operative manner; run your business or carry out your role in the business effectively and in accordance with proper governance and sound financial and risk management principles; run your business or carry out your role in the business in a way that encourages equality of opportunity and respect for diversity; and
protect client money and assets. Outcomes The outcomes which apply to these regulations are that, if you qualify as a solicitor, you: O(TR1)
will have achieved and demonstrated a standard of competence appropriate to the work you are carrying out; O(TR2)
will have had such competence objectively assessed where appropriate; O(TR3)
will have undertaken the appropriate practical training and workplace experience; O(TR4)
are of proper character and suitability; O(TR5)
will have achieved an appropriate standard of written and spoken English; and O(TR6)
act so that clients, and the wider public, have confidence that Outcomes TR1 - TR5 have been demonstrated. You must achieve, and where relevant continue to meet, these outcomes. These outcomes, and the regulations that flow from them, apply to students and trainee solicitors - i.e. all those who are intending to become solicitors at any regulated stage. Part 1: Interpretation Regulation 1: Interpretation and definitions 1.1
otherwise complied with these regulations; to be admitted as a solicitor. Part 2: The academic stage of training
You may not commence the vocational stage of training before satisfactorily completing the academic stage of training, unless you are studying an Integrated Course or Exempting Law Degree or you enter into a part-time study training contract in accordance with regulation 22. Part 3: Student enrolment
Regulation 12: Requirement to obtain certificates of enrolment
You must hold a current certificate of enrolment before any of these stages: (a)
commencing year three of an Exempting Law Degree; (b)
attending an LPC; (c)
attending an Integrated Course; (d)
serving under a training contract. Regulation 13: Applying for student enrolment
We will only issue a certificate of enrolment if we are satisfied: (a)
as to your character and suitability to become a solicitor; and (b)
that you have a good knowledge of spoken and written English. 13.2
We may require you to attend before an adjudicator, adjudication panel or committee as appointed by us to consider any issues that arise from your application. Guidance note: (i)
Successfully completing the academic stage of training satisfies the requirement of 13.1(b). The QLD, CPE and Diploma in Law are only offered in English, and they demand a high level of written and verbal English skills in order to graduate/pass. Regulation 14: Validity of student enrolment
A first certificate of enrolment is valid for the remainder of the calendar year in which your application is made plus another four years, as specified in the certificate. 14.2
Any other certificate of enrolment is valid for four years from the date of issue. 14.3
Notwithstanding regulations 14.1 and 14.2, a certificate of enrolment which is in force when you commence a training contract shall remain valid for the duration of that training contract. Regulation 15: Refusal of student enrolment applications, and appeals 15.1
We may refuse to issue a certificate of enrolment. If we do, we must notify you in writing, giving reasons for our decision. 15.2
If we refuse to issue a certificate of enrolment you may, within one month of receiving notification from us of our decision, ask for your application to be reviewed. 15.3
If you have been refused student enrolment under regulation 15.1 you have the right under regulation 2 of the SRA Admission Regulations to appeal to the High Court within three months of receiving notification from us of our decision on a review under regulation 15.2. 15.4
You may make up to three further applications for enrolment after intervals of not less than 12 months from the final determination of your previous application. Part 4: LPC
Regulation 16: Completion of the LPC
You must have satisfactorily completed the LPC to be admitted as a solicitor. Guidance note: (i)
The following modes of studying the LPC are approved by us: (a)
full-time mode (over one academic year); or (b)
part-time mode (over two academic years); or (c)
distance learning; or (d)
any other mode of delivery as approved by us. (ii)
The LPC, as of 2010, consists of: (a)
Stage 1 - Core subjects; and (b)
Stage 2 - Elective subjects. (iii)
Prior to this, the core and elective elements of the LPC were integrated. Some courses operated under our new requirements from the academic year starting in 2009, while others running at the same time operated under our old requirements. (iv)
Regardless of the requirements in force at the time, when these regulations say LPC, we mean the course as a whole including both elective and core subjects. Regulation 17: Course requirements 17.1
You must meet the LPC Outcomes, or where applicable any other LPC written standards in force at that time, in order to satisfactorily complete the course. 17.2
You must complete all Stage 1 assessments with one authorised provider. Stage 2 assessments can be taken with one or more different providers. 17.3
To complete the full LPC you must successfully complete all assessments in any time limit we may specify. If you do not pass all Stage 2 assessments within such time limit, then you must begin both Stages 1 and 2 again. 17.4
You are allowed three attempts at any Stage 1 assessment. If you are unsuccessful on the third attempt at a Stage 1 assessment, you will fail Stage 1 overall and all assessments must be retaken. 17.5
You are allowed three attempts at any Stage 2 assessment. If you fail a Stage 2 assessment for the third time, you will only be deemed to have failed that particular elective, not Stage 2 or the LPC overall. You can either re-enrol on the course for that particular elective or start a fresh elective. Guidance note: (i)
Regulation 17 is relevant to LPCs approved under the SRA's Information for providers of Legal Practice Courses only. The requirements in place for pre-2009 LPCs apply if you studied such a course. These are available from your course provider. (ii)
The LPC Outcomes are non-negotiable. If you have a disability within the meaning of the Equality Act 2010, you can apply to the provider for reasonable adjustments to be made to their assessment methods, but you must demonstrate the standards in order to satisfactorily complete the course. Part 5: The training contract
Regulation 18: Purpose of the training contract
Unless you are exempt under regulations 30 and 32, you cannot be admitted as a solicitor unless we are satisfied that you have received adequate training under a training contract. Provision of training under a training contract must focus on giving experience which will enable you to meet the Practice Skills Standards. Guidance note: (i)
We recommend that you also read and become familiar with the requirements of training establishments contained within the SRA Training Regulations Part 2 - Training Provider Regulations. (ii)
The time you will spend working under the supervision of a solicitor will develop your understanding of legal practice and of the responsibilities you will have when admitted. (iii)
At your training establishment, there will be a training principal and supervisor. You will need to talk with them to understand how your learning will be structured and supported. Any queries or problems relating to your training should be discussed with your training principal in the first instance. Regulation 19: Types and terms of training contracts
Regulation 7 of the SRA Training Regulations Part 2 - Training Provider Regulations allows a training principal to recognise previous experience that is equivalent to a period of service under a training contract and reduce the term accordingly. Regulation 20: Full-time training contract
The full-time training contract must only be commenced if: (a)
you have satisfactorily completed the LPC; (b)
you will be working full-time; and (c)
we are satisfied that adequate training can be given. Guidance note: (i)
Where you have passed Stage 1 of the LPC, and have taken the examinations in relation to Stage 2 but have not yet received the results, it is not a breach of regulation 20 for you to commence a training contract and for that training contract to be registered. In such a case: (a)
obtaining the results of Stage 2 and passing is a condition of completing your training contract; (b)
if you fail to pass any Stage 2 assessment, re-assessment during the period of your training contract may take place in line with the assessment requirements in the SRA's Information for providers of Legal Practice Courses, but it is open to your training establishment to submit an application to us to terminate your training contract; (c)
should you not pass Stage 2 before the end of your training contract, your training establishment will apply to us for termination of your training contract. Regulation 21: Part-time training contract
The part-time training contract must only be commenced if: (a)
you will be working part-time; (c)
you will be working no less than two and a half days per week (or the equivalent), therefore the total time spent training will not exceed four years; (d)
the total period of service is no less than would be served if you were in full-time employment and receiving training under a two year full-time training contract; and (e)
The guidance note that appears below regulation 20 is also applicable to part-time training contracts. (ii)
The total length of time spent in the part-time training contract depends on the usual number of days and hours you work each week (not including overtime or weekend work). The full-time training contract, if you were to work five days per week, seven hours per day, is for two years (or 730 days). For example, if you work: (a)
two and a half days per week, the period is four years (1,460 days) (b)
three days per week, the period is three years and four months (1,216 days) (c)
four days per week, the period is two years and six months (913 days). (iii)
The above examples are based around working seven hours per day. If you work five days per week but at reduced hours, your total time spent training will be calculated accordingly. Regulation 22: Part-time study training contract
The part-time study training contract can only be commenced if: (a)
you follow an LPC or an Integrated Course, or a course leading to a CPE, QLD, Exempting Law Degree, or Diploma in Law on a part-time basis; (b)
you are serving as a trainee on a full-time basis at the same time as studying; (c)
the total period of service is no less than would be served if you were in full-time employment and receiving training under a two year full-time training contract; and (d)
we are satisfied that adequate training can be given. 22.2
The following conditions apply to part-time study training contracts: (a)
if you fail the LPC whilst serving under a part-time study training contract, you will not be allowed to qualify until you have satisfactorily completed both stages of the LPC within any time limit we may specify for the course; (b)
they usually run for two calendar years from the start of the course, and counts as one year towards the training contract. Training contracts that start after commencement of the course will run from that date until the date that is two calendar years after the course commencement date; (c)
the training is counted at half-equivalence. Guidance note: (i)
On a part-time study training contract, the study is the only element that can be part-time. (ii)
The part-time study training contract normally lasts between three and four years. (iii)
You can work and, at the same time, study: (a)
the last two years of a part-time QLD; (b)
the part-time CPE; or (c)
the part-time LPC. (iv)
A part-time study training contract is normally for two calendar years from the start date of the part-time course. However, you may commence a part-time study training contract part way through a course. (v)
The options for part-time study training contracts are as follows: (a)
the final two years of a part-time QLD followed by a two-year part-time LPC; (b)
a two-year part-time CPE or Diploma in Law followed by a two-year part-time LPC; or (c)
a two-year part-time LPC followed by one year in a full-time training contract. (vi)
It is also possible to undertake a part-time study training contract during a part-time LPC and then do a part-time training contract. (vii)
If you complete the training contract before you have satisfied the study element, you will be able to extend the term of the training contract in order to do so. Regulation 23: Registration of a training contract
The training principal and you must sign the training contract within three months of the date that you start work in the capacity of a trainee. Your training establishment must register the training contract with us within one month of it being signed. 23.2
You must ensure that you have received confirmation from us that it has been registered. 23.3
The training contract cannot be amended without our prior approval. Guidance note: (i)
Failure to register the training contract could mean that not all of the time will count, and your admission to the roll could be delayed. (ii)
In accordance with regulation 6.1(g) of the SRA Training Regulations Part 2 - Training Provider Regulations, we will not register a training contract if you are paid a salary less than our prescribed minimum, which we review each year and may change. We will allow the cash value of benefits against the minimum salary. Regulation 24: Duties under the training contract
You must keep a training contract record, detailing the work you have done, the skills you have gained and what you have learnt. Regulation 25: Absences from work during a training contract
During the period of your training contract you are entitled to have absences from work for: (a)
attendance at all required elements of a PSC; (b)
annual leave, for a minimum of 20 days and a maximum of 25 days; (c)
training with the reserve forces; (d)
up to 20 days of uncertified sick leave; and (e)
any other reason required by law. 25.2
Your training contract will have to be extended with the training establishment's consent if you are absent from work for a total of over four months during the term of your training contract. Guidance note: (i)
Your training establishment will need to apply to us for such an extension. (ii)
For the purpose of regulation 25.1(e), 'any other reason required by law' includes, but is not limited to: (a)
long term illness; (b)
maternity leave; (c)
paternity leave; or (d)
unpaid leave. Regulation 26: Termination of a training contract
A review under regulation 26.5 shall be heard by such body or committee as we may determine, not being the body or committee which made the decision that is subject to review. Regulation 27: Conciliation procedure 27.1
When a training contract is terminated in accordance with regulation 26, the contract of employment will also fall away. There is no duality of contracts, despite the fact that several pieces of contractual documentation may exist. Regulation 28: Adequate training under a training contract
If you are required to serve under a training contract, you will only be admitted when we are satisfied that you have received adequate training in accordance with the terms of a training contract. 28.2
Your training establishment must certify to us that they are satisfied that adequate training has been given and must submit such documentation as we may require. 28.3
If we are satisfied that you: (a)
have received adequate training; and (b)
are of the proper character and suitability; then we will issue a certificate of satisfaction. 28.4
If we are not satisfied that you have received adequate training we may refuse to complete the admissions process until you have satisfactorily completed such further training as we may direct. Guidance note: (i)
Any previous experience recognised by your training establishment to reduce the term of your training contract can count towards these requirements. Part 6: The PSC
Regulation 29: Requirement to complete the PSC
Subject to the QLTR and/or QLTSR, you cannot be admitted as a solicitor unless you have satisfactorily completed a PSC. 29.2
You may only attend a PSC: (a)
after you have completed all LPC assessments and during the training contract; or (b)
if you are a FILEX who is not required to serve under a training contract by virtue of regulation 30. 29.3
If you are a trainee solicitor, you cannot complete the Client Care and Professional Standards module of the PSC until you have served at least six months' full-time or equivalent of your training contract. Guidance note: (i)
If you commence a training contract as described in the guidance note to regulation 20, you may commence a PSC at the beginning of your training contract, and before you have received your LPC Stage 2 results. (ii)
This is on the basis that subsequently obtaining the results of Stage 2 of the LPC and passing is a condition of satisfactory completion of the PSC. (iii)
We will also recognise satisfactory completion of the PSC if you initially fail Stage 2 of the LPC, but are continuing in your training contract as described in the guidance note to regulation 20. Part 7: The FILEX, MILEX and Justices' Clerks' Assistants routes Regulation 30: FILEX route 30.1
If you are a FILEX who has: (a)
satisfied us that you have satisfactorily completed the academic stage under regulations 7.3 and/or 3.1(b) where relevant; and (b)
satisfactorily completed an LPC or an Integrated Course; and (c)
before attending that course you have been continuously engaged as a FILEX in the practice of the law since qualifying as a FILEX; or (ii)
satisfied us that, although the requirements of (i) are not met, you have experience in the practice of the law since qualifying as a FILEX that is sufficiently recent to justify you not being required to serve under a training contract; and (d)
satisfactorily completed the PSC;
you are not required to serve under a training contract. Regulation 31: MILEX route 31.1
If you are a MILEX who has:
three years' qualifying employment; (b)
satisfied us that you have satisfactorily completed the academic stage under regulations 7.3 and/or 3.1(b) where relevant; and (c)
satisfactorily completed an LPC or an Integrated Course;
you must serve under a training contract and satisfactorily complete the PSC. Regulation 32: Justices' Clerks' Assistants route 32.1
If you are employed as a Justices' Clerk's Assistant who has: (a)
satisfied us that you have satisfactorily completed the academic stage under regulation 3; (b)
satisfactorily completed an LPC or an Integrated Course; (c)
before attending that course you have served at least five years out of the last 10 in the Magistrates' Courts Service as a Justices' Clerk's Assistant; and (d)
satisfactorily completed the PSC; you are not required to serve under a training contract.
Part 8: Character and suitability of prospective solicitors
Regulation 33: Misbehaviour of a prospective solicitor
If you are an unadmitted person, and at any time we are not satisfied as to your character and suitability to become a solicitor we may on such terms as we may determine: (a)
cancel student enrolment; (b)
prohibit entry into a training contract; (c)
refuse to register a training contract; (d)
terminate a training contract; (e)
prohibit attendance at an LPC or an Integrated Course/Exempting Law Degree; (f)
prohibit attendance at a PSC. 33.2
If we impose a prohibition or other sanction under regulation 33.1 you may, within one month of receiving notification of our decision, ask for the matter to be reviewed. 33.3
You have the right under regulation 3 of the SRA Admission Regulations to appeal to the High Court within three months of receiving notification of our decision on a review under regulation 33.2. 33.4
You may make up to three applications to us to remove the prohibition or other sanction after intervals of not less than 12 months from the final determination as to the imposition of the prohibition or sanction, or from the final determination of your previous application for review, as the case may be. 33.5
You have the right under regulation 3 of the SRA Admission Regulations to appeal to the High Court within three months of receiving notification of our decision on an application under regulation 33.4 for the removal of a prohibition or sanction. Regulation 34: Disclosure of character and suitability issues 34.1
To be enrolled as a student, you must report to us any matters that may affect your suitability to be admitted as a solicitor. 34.2
You must also report to us any matters that may affect your suitability to be admitted during the period of your student enrolment and training contract.
At the end of your training contract, you must also certify that there are no circumstances that may affect your character and suitability to become a solicitor, such as criminal convictions. 34.4
Failure to report character and suitability issues at the stages described in regulations 34.1, 34.2, and 34.3 will be regarded as a serious breach of our admission requirements and may result in your application for admission being refused. Guidance note: (i)
Matters that may affect your suitability to be admitted as a solicitor will include (but are not limited to) criminal convictions, police cautions, reprimands and final warnings together with financial problems such as bankruptcy or entering into voluntary arrangements, and academic offences including plagiarism. You should read the Suitability Test for our requirements on character and suitability. Regulation 35: Criminal Records Bureau disclosures 35.1
You must apply for a standard disclosure from the Criminal Records Bureau (CRB) before admission. You must complete the application form strictly according to the guidance given. Guidance note: (i)
We will send you an application form and detailed guidance to apply for a CRB disclosure approximately 12 weeks before you are expected to complete your training contract. Incomplete or incorrectly completed forms will be returned and delays to admission will result. Part 9: General Regulation 36: Waiver of regulations 36.1
In any particular case we have the power to waive in writing any of the provisions of these regulations and to revoke such waiver. Regulation 37: Forms and fees 37.1
Any application made or notice given to us must be in the prescribed form and accompanied by the prescribed fee. 37.2
If we have not prescribed a form for such an application or notice, it must be in writing, signed by you or the person giving it, and it must give such information as is necessary to enable us to deal with the application or to comply with the regulation under which the notice is given. 37.3
We may require you or the person giving notice to provide any further information we consider necessary. 37.4
We may require: (a)
any application to be supported by such evidence as we consider necessary; (b)
facts relevant to any application to be deposed to by statutory declaration; and (c)
that you attend an interview. Regulation 38: Admission as a solicitor
Admission as a solicitor takes place under Part 3 of the SRA Admission Regulations. Guidance note: (i)
Approximately eight weeks before the expected completion of your training contract, you will receive an application for admission form. You will use this form to (a)
apply for admission as a solicitor (b)
apply to attend an admission ceremony (c)
apply for your first practising certificate (d)
apply for membership of the Law Society of England and Wales. (ii)
There are two admission dates each month, usually the 1st and the 15th, and we need to receive applications at least 28 days before the date on which you expect to be admitted. (iii)
When the application has been processed, you will receive confirmation of the admission date, details of the admission ceremony, and the continuing professional development scheme. Top