The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.

SRA Handbook

SRA Training Regulations 2011 - Part 1 Qualification Regs

Version 2 of the Handbook was published on 23/12/2011. For more information, please click 'History' Above

SRA Training Regulations 2011 Part 1 - Qualification Regulations

Introduction to the Training Regulations 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: Unless the context otherwise requires, the definitions and interpretation provisions as set out within the SRA Glossary shall apply to these regulations.
1.2: In these regulations:

academic stage of training

means that stage of the training of an entrant to the solicitors' profession which is completed by satisfying regulation 3 of the SRA Training Regulations Part 1 - Qualification Regulations, and "academic stage" should be construed accordingly;

adequate training

under a training contract means:

(i): gaining at least three months' experience in each of at least three different areas of English law;
(ii): developing skills in both contentious and non-contentious areas; and
(iii): being given the opportunity to practise and/or observe the activities set out in the Practice Skills Standards;

assets

includes money, documents, wills, deeds, investments and other property;

BSB

means the Bar Standards Board;

certificate of enrolment

should be construed as evidence of student enrolment within the SRA Training Regulations Part 1 - Qualification Regulations;

certificate of satisfaction

means a certificate or certifying letter from us confirming that you have satisfied the SRA Training Regulations and are of the proper character and suitability to be admitted as a solicitor;

character and suitability

satisfies the requirement of section 3 of the SA in order that an individual shall be admitted as a solicitor;

client

means the person for whom you act and where the context permits, includes prospective and former clients;

client money

has the meaning given in Rule 12 of the SRA Accounts Rules, save that for the purposes of Part 7 (Overseas practice) of the SRA Accounts Rules, means money received or held for or on behalf of a client or trust (but excluding money which is held or received by a multi-disciplinary practice-a licensed body providing a range of different services-in relation to those activities for which it is not regulated by the SRA);

company

means a company registered under the Companies Acts, an overseas company incorporated in an Establishment Directive state and registered under the Companies Act 1985 and/or the Companies Act 2006 or a societas Europaea;

CPE

means the Common Professional Examination, namely a course, including assessments and examinations, approved by the JASB for the purposes of completing the academic stage of training for those who have not satisfactorily completed a QLD;

Diploma in Law

means a graduate or postgraduate diploma in law or second degree awarded by a body authorised by JASB for the purposes of completing the academic stage of training for those who have not satisfactorily completed a QLD;

director

means a director of a company; and in relation to a societas Europaea includes:

(i): in a two-tier system, a member of the management organ and a member of the supervisory organ; and
(ii): in a one-tier system, a member of the administrative organ;

Establishment Directive

means the Establishment of Lawyers Directive 98/5/EC;

Exempting Law Degree

means a QLD incorporating an LPC, approved by us;

FILEX

means a Fellow of the Institute of Legal Executives;

firm

means:

(i)

subject to sub-paragraph (ii) and (v) below, an authorised body, a recognised sole practitioner or a body or individual which should be authorised by the SRA as a recognised body or recognised sole practitioner (but which could not be authorised by another approved regulator);

(ii)

for the purposes of the SRA Accounts Rules, "firm" has the same meaning as at sub-paragraph (i) above but can also include in-house practice;

(iii)

in Part 7 (Overseas practice) of the SRA Accounts Rules, any business through which a solicitor or REL carries on practice other than in-house practice;

(iv)

in the SRA Indemnity Insurance Rules:

(A): any recognised sole practitioner; or
(B): any recognised body (as constituted from time to time); or
(C): any solicitor or REL who is a sole practitioner, unless that sole practitioner is a non-SRA firm; or
(D): any partnership (as constituted from time to time) which is eligible to become a recognised body and which meets the requirements applicable to recognised bodies set out in the SRA Practice Framework Rules, SRA Recognised Bodies Regulations 2011 (until 31 March 2012), and the SRA Authorisation Rules (from 31 March 2012), unless that partnership is a non-SRA firm; or
(E): any licensed body in respect of its regulated activities, whether before or during any relevant indemnity period;

(v)

in the SRA European Cross-border Rules, means any business through which a solicitor or REL carries on practice other than in-house practice;

foundations of legal knowledge

means those foundations of law the study of which is prescribed by us and the BSB through the JASB for the purpose of completing the academic stage of training by undertaking a QLD or CPE and passing the assessments and examinations set during that course;

Integrated Course

means a Diploma in Law/CPE incorporating an LPC, approved by us;

in-house practice

means practice as a solicitor, REL or RFL (as appropriate) in accordance with Rules 1.1(c)(ii)(B), 1.1(d)(ii)(B), 1.1(e), 1.2(f), 2.1(c)(ii)(B), 2.1(d)(ii)(B), 2.1(e), 2.2(f), 3.1(b)(ii)(B) or 3.1(c)(ii)(B) of the SRA Practice Framework Rules;

JASB

means the Joint Academic Stage Board, namely the joint committee of the BSB and the SRA responsible for the setting and implementation of policies in respect of the academic stage, and validation and review of QLDs and CPEs.

Justices' Clerk's Assistant

bears the meaning contained in the Assistants to Justices' Clerks Regulations 2006;

LPC

means a Legal Practice Course, namely a course the satisfactory completion of which is recognised by us as satisfying, in part, the vocational stage of training;

LPC Outcomes

means our minimum educational standards that LPC students must meet in order to satisfactorily complete the course;

manager

means:

(i): a member of an LLP;
(ii): a director of a company;
(iii): a partner in a partnership; or
(iv): in relation to any other body, a member of its governing body;

save that for the purposes of:

(v): Part 7 (Overseas practice) of the SRA Accounts Rules "a manager" includes the director of any company, and is not limited to the director of a company as defined herein; and
(vi): the SRA Cost of Investigations Regulations and the SRA Disciplinary Procedure Rules where in (iii) above terms partner and partnership are to be given their natural meaning;

mature student

means someone who intends to undertake the Diploma in Law or CPE and who has:

(i): considerable experience or shown exceptional ability in an academic, professional, business or administrative field; and
(ii): attained such standard of general education as we may consider sufficient;

MILEX

means a Member of the Institute of Legal Executives;

owner

means, in relation to a body, a person with any ownership interest in the body, save that:

(i): in the SRA Authorisation Rules owner means any person who holds a material interest in an authorised body, and in the case of a partnership, any partner regardless of whether they hold a material interest in the partnership; and
(ii): for the purposes of Chapter 12 of the SRA Code of Conduct means a person having a substantial ownership interest in a separate business and "own" and "owned by" shall be construed accordingly;
(iii): for the purposes of the SRA Suitability Test includes owners who have no active role in the running of the business as well as owners who do;

partner

means a person who is or is held out as a partner in a partnership save for in the SRA Accounts Rules, in which it means an individual who is or is held out as a partner in a partnership;

practice

means the activities, in that capacity, of:

(i)

a solicitor;

(ii)

an REL, from an office or offices within the UK;

(iii)

a member of an Establishment Directive profession registered with the BSB under the Establishment Directive, carried out from an office or offices in England and Wales;

(iv)

an RFL, from an office or offices in England and Wales as:

(A): an employee of a recognised sole practitioner;
(B): a manager, employee or owner of an authorised body or of an authorised non-SRA firm; or
(C): a manager, employee or owner of a body which is a manager or owner of an authorised body or of an authorised non-SRA firm;

(v)

an authorised body;

(vi)

a manager of an authorised body;

(vii)

a person employed in England and Wales by an authorised body or recognised sole practitioner;

(viii)

a lawyer of England and Wales; or

(ix)

an authorised non-SRA firm;

and "practise" and "practising" should be construed accordingly; save for in:

(x)

the SRA Indemnity Insurance Rules where "practice" means the whole or such part of the private practice of a firm as is carried on from one or more offices in England and Wales; and

(xi)

the SRA Indemnity Rules where it means a practice to the extent that:

(A): in relation to a licensed body, it carries on regulated activities; and
(B): in all other cases, it carries on private practice providing professional services as a sole solicitor or REL or as a partnership of a type referred to in Rule 6.1(d) to 6.1(f) and consisting of or including one or more solicitors and/or RELs, and shall include the business or practice carried on by a recognised body in the providing of professional services such as are provided by individuals practising in private practice as solicitors and/or RELs or by such individuals in partnership with RFLs, whether such practice is carried on by the recognised body alone or in partnership with one or more solicitors, RELs and/or other recognised bodies;

Practice Skills Standards

means the standards published by us which set out the practice skills trainees will develop during the training contract and use when qualified;

Principles

means the Principles in the SRA Handbook;

PSC

means the Professional Skills Course, namely a course normally completed during the training contract, building upon the LPC, providing training in Financial and Business Skills, Advocacy and Communication Skills, and Client Care and Professional Standards. Satisfactory completion of the PSC is recognised by us as satisfying in part the vocational stage of training;

QLD

means a qualifying law degree, namely a degree or qualification awarded by a body approved by the JASB for the purposes of completing the academic stage of training, following a course of study which includes:

(i): the study of the foundations of legal knowledge; and
(ii): the passing of appropriate assessments set in those foundations;

QLTR

means the Qualified Lawyers Transfer Regulations 1990 and 2009;

QLTSR

means the SRA Qualified Lawyers Transfer Scheme Regulations 2010 and 2011;

qualifying employment

means employment to do legal duties under the supervision of a solicitor;

REL

means registered European lawyer, namely, an individual registered with the SRA under regulation 17 of the European Communities (Lawyer's Practice) Regulations 2000 (SI 2000 no. 1119).

RFL

means registered foreign lawyer, namely, an individual registered with the SRA under section 89 of the Courts and Legal Services Act 1990;

SA

means the Solicitors Act 1974;

satisfactory completion

of a course or courses means:

(i): passing all the examinations and assessments required; and/or
(ii): where appropriate having part or parts awarded through condonation, deemed pass, or exemption;

in order to graduate from or pass an assessable course of study, and being awarded a certificate from the course provider confirming this. "Satisfactorily completed" should be construed accordingly;

solicitor

means a person who has been admitted as a solicitor of the Senior Courts of England and Wales and whose name is on the roll kept by the Society under section 6 of the SA, save that in the SRA Indemnity Insurance Rules includes a person who practises as a solicitor whether or not he or she has in force a practising certificate and also includes practice under home title of a former REL who has become a solicitor;

SRA

means the Solicitors Regulation Authority, and reference to the SRA as an approved regulator or licensing authority means the SRA carrying out regulatory functions assigned to the Society as an approved regulator or licensing authority.

SRA Admission Regulations

means the SRA Admission Regulations 2011;

SRA Training Regulations

means the SRA Training Regulations 2011;

student enrolment

means the process where we satisfy ourselves that a student who intends to proceed to the vocational stage of training has satisfactorily completed the academic stage of training and is of the appropriate character and suitability. "Enrolment" should be construed accordingly, and "certificate of enrolment" should be construed as evidence of student enrolment;

trainee solicitor

means any person receiving workplace training with the express purpose of qualification as a solicitor, at an authorised training establishment, under a training contract, and "trainee" should be construed accordingly;

training contract

means a written contract, complying with the SRA Training Regulations, between one or more training establishments and a trainee solicitor, setting out the terms and conditions of the workplace training that the trainee solicitor will receive;

training contract record

means an adequate record of experience a trainee solicitor is getting and the skills they are developing during the training contract;

training establishment

means an organisation, body, firm, company, in-house practice or individual authorised by us under the SRA Training Regulations Part 2 - Training Provider Regulations to take and train a trainee solicitor;

training principal

means any solicitor who:

(i): holds a current practising certificate;
(ii): has held immediately prior to a current practising certificate four consecutive practising certificates;
(iii): is nominated by a training establishment as such;
(iv): is a partner, manager, director, owner, or has equivalent seniority and/or managerial status; and
(v): has undertaken such training as we may prescribe;

and for the purposes of (ii) above a solicitor who has been an REL for a continuous period before their admission as a solicitor can use each complete year of registration as the equivalent of having held one practising certificate. A Government Legal Service solicitor with appropriate seniority, experience and training will be exempt from the practising certificate requirements for training principals;

UK

means United Kingdom;

unadmitted person

means a person who:

(i): holds a current certificate of enrolment;
(ii): is serving under a training contract; or
(iii): has completed any part or all of the vocational stage of training, in accordance with regulations 16 to 32 of the SRA Training Regulations Part 1 - Qualification Regulations, but does not hold a current certificate of enrolment;

but who has not been admitted as a solicitor;

us

means the SRA, and "we", "our" and "ourselves" should be construed accordingly;

vocational stage of training

means that stage of the training of an entrant to the solicitors' profession which is completed by:

(i): satisfactory completion of an LPC;

(ii): satisfactory completion of an Exempting Law Degree or Integrated Course;

and

(iii): subject to regulations 30, 31 and 32 of the SRA Training Regulations Part 1 - Qualification Regulations, serving under a training contract; and
(iv): satisfactory completion of a PSC and such other course or courses as we may from time to time prescribe;

you

means any person intending to be a solicitor, other than those seeking admission under the QLTSR, and "your" should be construed accordingly.

Regulation 2: Compliance with these regulations

2.1

You must have:

(a): satisfactorily completed the academic stage;
(b): satisfactorily completed the vocational stage; and
(c): otherwise complied with these regulations;

to be admitted as a solicitor.

Part 2: The academic stage of training

Regulation 3: Completion of the academic stage

3.1

You can satisfy the academic stage of training by satisfactorily completing:

(a): a QLD;
(b): a CPE;
(c): a Diploma in Law; or
(d): an Exempting Law Degree or Integrated Course.

3.2

In exceptional circumstances we may accept such other evidence of academic ability as we think fit as equivalent to completion of the academic stage for the purposes of regulation 3.1 if you complete a course of study for one of the qualifications referred to in that regulation.

3.3

Notwithstanding regulation 3.5, if you fall under regulation 3.1 you must obtain a certificate from us within the prescribed time limit confirming that you have satisfied the academic stage before proceeding to the vocational stage.

3.4

If you are studying an Exempting Law Degree or Integrated Course you must obtain a certificate confirming that you have satisfied the academic stage by virtue of regulation 3.1(d) from us within the prescribed time limit before you enter into a training contract.

3.5

If you enter into a part-time study training contract under regulation 22 whilst studying a course under regulation 3.1, you are not required to obtain a certificate of completion of the academic stage before commencing work under that contract. You must obtain a certificate of completion from us before you are admitted.

Guidance note:

(i): The Joint Statement on Qualifying Law Degrees (PDF 51K), prepared jointly by the SRA and the BSB, sets out the conditions a law degree course must meet in order to be termed a QLD.
(ii): JASB is responsible for the setting and implementation of policies for the academic stage, as well as validation and review of QLDs, Diplomas in Law, and CPEs. The JASB's policies, as well as those of the SRA and BSB, are contained in the Joint Academic Stage Handbook.

Regulation 4: Certificates of completion of the academic stage

4.1

If regulation 3.1 applies to you, you must apply to us for a certificate of completion and lodge such evidence as we may require.

4.2

We will not grant a certificate of completion on an application made later than seven years after 1 October in the year in which you satisfactorily completed a QLD, Diploma in Law or a CPE unless we are satisfied that:

(a): special reasons exist for granting the certificate; and
(b): you have complied with such requirements as to courses of study, written tests or otherwise as we may have imposed as a condition of granting the certificate.

4.3

Subject to regulation 4.2, if we are satisfied that you have satisfactorily completed a QLD, a Diploma in Law or a CPE, we will issue a certificate stating that you have completed the academic stage of training.

4.4

If we refuse your application for a certificate in respect of a degree or diploma, we may accept your degree or diploma as entitling you to take a CPE under regulations 6 and 8.

Regulation 5: Validity periods of certificates of completion of the academic stage

5.1: A certificate remains in force for seven years after 1 October in the year in which you satisfactorily completed a QLD, Diploma in Law or a CPE.
5.2: If you wish to qualify as a solicitor and your certificate of completion of the academic stage has expired, you must satisfactorily complete the full CPE.

Guidance note:

(i): We have the discretion to revalidate expired certificates of completion of the academic stage if we are satisfied that you have undertaken ongoing legal updating. This may include active engagement in legal work or a role as a legal educator throughout the period after completing the QLD, Diploma in Law or CPE. We are unlikely to exercise this discretion if your qualifications are more than ten years old.

Regulation 6: Eligibility to attempt a CPE

6.1

To be eligible to attempt a CPE, you must:

(a): hold a degree (other than an honorary degree) conferred by an institution in England and Wales empowered by the Privy Council to award degrees or by a university in the UK or the Republic of Ireland or by the Council for National Academic Awards before its dissolution on 31 March 1993 or a licence awarded by the University College of Buckingham before that college was granted university status;
(b): hold a degree (other than an honorary degree) conferred by a university outside the UK and the Republic of Ireland which we consider to be of a standard at least equivalent to that of a degree conferred by a university in the UK;
(c): be accepted by us as a mature student;
(d): be a FILEX;
(e): be a MILEX who has at least three years' qualifying employment;
(f): hold such qualification in Magisterial Law awarded after satisfactory completion of a relevant course as we recognise from time to time;
(g): have attained such academic and vocational qualifications as we consider to be equivalent to a first degree under regulation 6.1(a); or
(h): be directed to pass the CPE by us due to expiration of the certificate of completion of the academic stage under regulation 5.2.

6.2

In exceptional circumstances we may accept such other evidence of academic eligibility as we think fit if you have completed a course of study for a degree at an institution referred to in regulation 6.1(a) or (b) but have not graduated.

Regulation 7: Exemption from a part or parts of a CPE

7.1

You may apply to us for an exemption from any of the foundations of legal knowledge and the other area of legal study in a CPE if you have passed corresponding subjects within a degree programme, subject to the restrictions in regulation 7.4.

7.2

We may grant an exemption if we are satisfied that you have passed any assessments and examinations in any of the foundations of legal knowledge or other area of legal study approved by us as being substantially equivalent to the CPE areas/subjects from which you seek exemption.

7.3

If you are a FILEX or MILEX, you can claim full or partial exemption from the CPE if you have passed corresponding papers in the level six membership examinations. Exemptions cannot be claimed if you have obtained exemption from ILEX membership examinations by:

(a): having passed corresponding subjects as part of a failed QLD; or
(b): having passed corresponding law papers in a law degree that is not a QLD because it was not completed within the maximum time period.

7.4

You can only apply for exemptions from four or more CPE subjects. Exemptions will only be considered if the degree has been awarded, irrespective of whether individual law subjects have been passed.

7.5

If you have passed three or fewer subjects, you cannot apply for an exemption and must complete the CPE in full.

7.6

If we are satisfied that you are entitled to be granted exemption from any of the foundations of legal knowledge or the one other area of legal study in a CPE, we may issue a Certificate of Exemption stating any foundation or foundations of legal knowledge and the one other area of legal study which you must pass in order to complete a CPE.

7.7

If you are taking only one or two CPE subjects as a result of an SRA exemption, you must begin your studies no later than 1 October of the year prior to the year in which you attempt the examinations and assessments.

Guidance note:

(i)

Regulations 7.4 and 7.5 mean that you can either apply for exemptions from:

(a): four foundations of legal knowledge subjects;
(b): three of the foundations of legal knowledge and one further area of legal study; or
(c): more than four subjects.

(ii)

You can apply for a CPE exemption on this website.

Regulation 8: Attending a CPE

8.1: You can only attend a CPE if you have satisfied a JASB-approved CPE provider that your qualifications are within the categories contained in regulation 6.1(a) to (g), or that regulation 6.1(h) or 6.2 applies to you.

Regulation 9: Compliance with regulations relating to a CPE

9.1: If you attend a CPE you must comply with any rules or regulations approved by the JASB and those of the CPE provider in force at that time.

Regulation 10: Transfer between CPE providers

10.1: You are required to complete the CPE with one provider. If, for exceptional circumstances, you need to transfer from one provider to another, you must apply to us providing such evidence as we may require.

Guidance note:

(i): You can apply for transfers between CPE providers on our website.

Regulation 11: Commencing the vocational stage of training

11.1: 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

12.1

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

13.1

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

14.1: 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

16.1: 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

18.1: 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

19.1

There are three types of training contract:

(a): full-time;
(b): part-time; and
(c): part-time study.

19.2

Subject to regulations 21 and 22, and regulation 7 of the SRA Training Regulations Part 2 - Training Provider Regulations, the time to be served under a training contract is two years. The training contract may be extended if additional time is needed to:

(a): meet the Practice Skills Standards;
(b): satisfactorily complete any outstanding qualifications; and/or
(c): make up for time not served in the capacity of a trainee solicitor in excess of the allowances made in regulation 13 of the SRA Training Regulations Part 2 - Training Provider Regulations due to authorised absence of four months or over.

Guidance note:

(i): 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

20.1

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

21.1

The part-time training contract must only be commenced if:

(a): you have satisfactorily completed the LPC;
(b): 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): we are satisfied that adequate training can be given.

Guidance note:

(i)

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

22.1

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

23.1: 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

24.1: 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

25.1

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 in accordance with the Working Time Regulations;
(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

26.1

If we are satisfied that any training contract ought to be terminated we may order its termination on such terms as we may determine, whether or not an application is made by either party.

26.2

An application to terminate your training contract may also be made by either party for the following reasons:

(a): mutual agreement, completing an application to register the transfer or termination of a training contract. The training principal certifies that you have satisfied the period of training, and are of suitable character to become a solicitor, up to that date;
(b): a cancellation clause, where the training contract is conditional on you passing the CPE and/or the LPC and you do not pass; or
(c): an application to us by either party arising from training-related problems that cannot be resolved internally.

26.3

Unless there are other justifiable reasons to do so, we will only terminate your training contract if:

(a): your training contract is conditional on you passing any of the academic stages of qualification or the LPC, and you do not pass;
(b): your conduct is unacceptable;
(c): you are incapable of meeting the Practice Skills Standards; or
(d): the training establishment business closes or changes so much that it is not possible to properly train you.

Guidance note:

(i): Applications to terminate training contracts are made through our website www.sra.org.uk.
(ii): We encourage training principals and trainees to resolve issues internally, before approaching us. We are unable to determine employment law matters or to give legal advice upon contractual matters - you should seek independent legal advice.

26.4

If for any reason we are not satisfied that adequate training is being given then we may:

(a): declare that a training establishment ceases to be such;
(b): prohibit a training establishment from taking any or more than a specified number of trainee solicitors for such period as we may determine or until otherwise determined by us;
(c): impose any other conditions upon the training establishment which we consider appropriate;
(d): terminate the training contract on such terms as we may determine;
(e): direct that all or any part of the period you have served shall not count as service under a training contract;
(f): direct that you shall serve such further period under a training contract or receive such further training for such further period and in such form as we require;
(g): direct that a training principal undertake such training as we require; and/or
(h): take such other action as we may consider necessary or appropriate.

26.5

If you or your training establishment are aggrieved by any decision made under regulation 26.1 you or your training establishment may apply for review of it within one month of receiving written notification.

26.6

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: If you or your training establishment is in dispute about any matter arising from your service under a training contract, either party may refer the matter to us and we shall endeavour to resolve the dispute.
27.2: We may appoint any person to act as conciliator in respect of a dispute between you and your training establishment.
27.3: If we are unable to resolve a dispute between you and your training establishment and we are satisfied that the training contract ought to be terminated, we may order its termination on such terms as we may determine.
27.4: If you or your training establishment are aggrieved by any decision made under regulation 27.3, you may apply for review of it in accordance with regulations 26.5 and 26.6.

Guidance note:

(i): We are unable to determine employment law matters or to give legal advice upon contractual matters. You are advised to seek independent legal advice.
(ii): 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

28.1

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

29.1

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)

either:

(i): 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;

you are not required to serve under a training contract but must satisfactorily complete the PSC in accordance with regulation 29.2(b).

Regulation 31: MILEX route

31.1

If you are a MILEX who has:

(a): 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

33.1

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.
34.3: 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

38.1: 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.