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SRA Handbook

SRA Training Regulations 2011 - Part 2 Training Provider Regs

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Version 1 of the Handbook was published on 16/09/2011. For more information, please click 'History' Above

SRA Training Regulations 2011 Part 2 - Training Provider Regulations

Introduction to the Training Regulations Part 2 - Training Provider 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: Organisations seeking authorisation to take trainees, in respect of applications for authorisation, and applications for review of SRA decisions

Regulating: Training establishments, in respect of delivery of training and provision of information to the SRA

Regulating: Training principals and supervisors of trainees, in respect of their responsibilities towards trainees, and

Regulating: PSC providers, in respect of application for authorisation, and applications for review of an SRA decision relating to authorisation

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 1 - Qualification 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 and practise as solicitors.

These regulations govern the qualifications, duties and responsibilities of those providing education or training for people seeking to be admitted as solicitors - specifically, the training contract and the PSC.

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 outcome which applies to these regulations is as follows:

O(TR1): If you are responsible for the vocational training of prospective solicitors, you should have appropriate systems in place to provide the required level and quality of training, and deliver that training effectively.

This outcome, and the regulations that flow from it, applies to all those who are involved in the provision of training contracts and the PSC, as follows:

those wishing to become, or continue as, training establishments - regulation 2;
training establishments regulations 3-14;
training principals - regulation 15;
supervisors of trainees - regulation 16; and
PSC providers - regulation 17.

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;

barrister

means a person called to the bar by one of the Inns of Court and who has completed pupillage and is authorised by the General Council of the Bar to practise as a barrister;

certificate of training

means the certification by a training principal that a trainee has received training in accordance with the SRA Training Regulations Part 2 - Training Provider Regulations;

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;

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;

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);

(i)

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;

(ii)

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

(iii)

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;

(iv)

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

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;

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;

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;

member

means:

(i): in relation to a company a person who has agreed to be a member of the company and whose name is entered in the company's register of members; and
(ii): in relation to an LLP, a member of that LLP;

modular training contract

means a training contract in which employment and training is provided by a training contract consortium, each member of which has a defined contribution to training process and content;

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;

parent training establishment

means one member of a training contract consortium which is authorised to take trainees and which has appointed a training principal who is responsible for the training of the training contract consortium's trainees;

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;

PSC provider

means an organisation authorised by us to provide the PSC under the SRA Training Regulations Part 2 - Training Provider Regulations;

PSC Standards

means the standards which set out the content of, and level of achievement required from individuals studying, the PSC;

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;

seats

means an arrangement where a trainee works in different departments of, or in different roles within, a training establishment in order to gain exposure to different areas of law;

secondment

means an arrangement between a training establishment and another employer for a part of the period of a training contract;

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 Suitability Test

means the SRA Suitability Test 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;

take a trainee

means the entering into a training contract with an individual by a training establishment, and "take trainees" and "taking trainees" should be construed accordingly;

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 the trainee will receive;

training contract consortium

means an arrangement between more than one employer, one of which is authorised to take trainees, to provide a training contract (referred to in the SRA Training Regulations Part 2 - Training Provider Regulations as a modular training contract);

training contract record

means a record maintained by a trainee recording the experience that the trainee is getting and the skills that the trainee is developing within a 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;

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;

Voluntary Code of Good Practice

means a code agreed by the Association of Graduate Careers Advisory Services, the Association of Graduate Recruiters, the Junior Lawyers Division and us to assist all concerned with the recruitment of law degree students and non-law degree students as trainee solicitors.

Part 2: Authorisation to take trainee solicitors

Regulation 2: Authorisation of training establishments

2.1

Regulation 2 applies to:

(a): training establishments;
(b): applicants for authorisation to take trainees; and
(c): applicants for a review of our decisions relating to authorisation to take trainees;

and you and yourself should be construed accordingly.

2.2

If you wish to take a trainee, you may only do so if authorised to do so by us.

2.3

In order for you to be authorised, you must provide us with:

(a)

information about your organisation, body, firm, company, in-house practice or yourself as an individual;

(b)

the name and contact details of your nomination for training principal;

(c)

if applicable, the name and contact details of any other person with overall responsibility for training within your organisation, body, firm or company;

(d)

a declaration regarding your training principal relating to:

(i): his or her practising certificate history and current status;
(ii): any referral or referrals to the Solicitors Disciplinary Tribunal; and
(iii): any regulatory, conduct or disciplinary matters pending; and

(e)

a declaration that you:

(i): operate in accordance with Chapter 2 of the SRA Code of Conduct;
(ii): agree to abide by the requirements of the training contracts into which you enter;
(iii): agree to notify us of any changes in the details submitted to us in respect of your authorisation;
(iv): are able to provide training and experience in accordance with the Practice Skills Standards;
(v): confirm that all individuals involved in training issues will have, or have had, appropriate training and experience for the task;
(vi): confirm that all training contracts will be in the form prescribed by us and will contain such terms and conditions as we may from time to time prescribe, in accordance with these regulations; and
(vii): confirm whether you will subscribe to our Voluntary Code of Good Practice.

2.4

We may:

(a): declare any organisation, body, firm, company or individual to be a training establishment, subject to any conditions and for such period as we consider appropriate;
(b): vary or discharge any condition;
(c): refuse to declare any organisation, body, firm, company or individual to be a training establishment;
(d): declare that a training establishment ceases to be such.

2.5

If we:

(a): refuse to declare an organisation, body, firm, company or individual a training establishment;
(b): declare an organisation, body, firm, company or individual a training establishment subject to conditions, or vary any condition;
(c): take any decision under regulation 14.3 which the training establishment is aggrieved by,

the organisation, body, firm, company or individual may apply for review of the decision within one month of receiving notification of it.

2.6

Pending the hearing of an application for review under regulation 2.5, any variation of a condition which is the subject of review stands suspended.

2.7

If we declare that a training establishment ceases to be such, then the organisation, body, firm, company or individual may:

(a): apply for review of the decision within one month of receiving notification of it; and
(b): pending the hearing of an application for review may continue to provide training to any trainee who has entered into a training contract at the date of our decision; but
(c): may not provide training to any other person.

2.8

An application for review made under regulation 2.5 or 2.7 shall be heard by such body or committee as we may determine, not being the body or committee which made the decision that is the subject of review.

Part 3: Training establishments

Regulation 3: Application

3.1: Regulations 3-14 apply to training establishments, and "you" and "your" should be construed accordingly.

Regulation 4: Taking of trainees

4.1

You may only enter into a training contract with an individual if:

(a): you have been authorised as a training establishment under regulation 2;
(b): you are satisfied that the individual has current and valid student enrolment;
(c): you comply with regulation 8.2; and
(d): you set out in a letter of offer to the individual key information as to the terms and conditions to be included in the training contract.

4.2

You may enter into a training contract with an individual only if the training contract is in such form and containing such terms and conditions as we may from time to time prescribe.

Guidance notes:

(i)

In order to comply with regulation 4.1(b), it is not necessary to contact us. It is sufficient for you to see the certificate of enrolment (usually a certifying letter issued by us) provided by the individual.

(ii)

Best practice requires that the following information should be set out within the letter of offer, in addition to any other information that may be useful for the prospective trainee:

(a): the type of training contract, with start and end dates;
(b): starting salary and arrangements for salary review;
(c): any conditions to which the offer is subject, for example confirmation of satisfactory completion of the LPCor student enrolment;
(d): fees your organisation will pay in respect of re-sits and re-attendance on the PSC (you are required to pay for the first attempt);
(e): any probationary period before the training contract is signed;
(f): how training will be organised, such as the nature of your organisation's practice, the areas of law and the skills in which the trainee will gain experience;
(g): whether the trainee will work in separate seats and, if so, how this will be arranged;
(h): how long the trainee should expect to spend on each area of law;
(i): details of any secondments-see regulation 11 and the accompanying guidance note;
(j): if the training contract is a modular training contract, full details of the arrangements-see regulation 12 and its attached guidance;
(k): any other benefits, including benefits in kind, sickness benefit, holiday entitlement;
(l): hours of work and office hours; and
(m): any arrangements for continuing employment on completion of the training contract.

Regulation 5: Commencement, registration and termination of a training contract

5.1: You, and the trainee, must sign the training contract within three months of the date that the trainee has commenced in that capacity.
5.2: You must register each training contract with us within 28 days of the date on which it was signed by you and the trainee, using the form prescribed by us from time to time.
5.3: You may terminate a training contract in accordance with the provisions of regulation 26 of the SRA Training Regulations Part 1 - Qualification Regulations.

Guidance note:

(i)

You can register a training contract on our website. The online registration form covers:

(a): the type of training contract;
(b): the start and end dates;
(c): the salary the trainee will be paid; and
(d): details of any reduction in the period of the training contract you have granted in accordance with regulation 7.2.

Regulation 6: Responsibilities of training establishments

6.1

If you are a training establishment you must:

(a)

provide the trainee with opportunities for:

(i): practical experience in at least three distinct areas of English law;
(ii): development of skills in both contentious and non-contentious work; and
(iii): development of the skills needed in practice so as to meet the Practice Skills Standards;

(b)

ensure the maintenance of a training contract record by the trainee, linking the experience he or she has gained to the skills he or she has developed;

(c)

provide close supervision by qualified solicitors, or others with the appropriate experience in English law, in accordance with regulation 16;

(d)

provide the trainee with regular feedback and appraisals throughout his or her training, including at least three formal appraisals during the period of the training contract;

(e)

not amend the training contract unless you have our approval of the terms of the amendment;

(f)

allow paid study-leave to attend courses prescribed by us, such as the PSC;

(g)

pay:

(i): at least the minimum salary prescribed from time to time by us; and
(ii): the trainee's PSC fees and expenses for the first attempt; and

(h)

take no more than two trainees for each partner or senior solicitor with a current and four previous consecutive practising certificates.

Guidance note:

(i)

You are free to organise training on your own pattern provided that you meet the requirements of regulation 6. Typically, training is organised in one of two ways:

(a): the trainee works in at least three distinct seats, spending a specified period (usually about six months) in each; or
(b): the trainee works in various areas of law on a day-to-day basis, in line with the type of work available.

(ii)

During the training contract, trainees develop and practise the skills they will use as qualified solicitors. The key elements of each skill-and the type of experience that will help trainees to develop it-are specified in the Practice Skills Standards. Trainees develop the skills through a mixture of the following activities:

(a): completing work and tasks by themselves;
(b): assisting others; and
(c): observing experienced practitioners.

(iii)

Regulation 6.1(b) requires you to ensure that a trainee maintains, on a regular basis, an adequate training contract record of the experience that he or she is getting and the skills that he or she is developing. We expect that by the end of the training contract, the record will show the trainee's level of attainment in relation to the requirements set out in regulation 6.1(a).

(iv)

We do not prescribe the format of the training contract record, but we recommend that it includes:

(a): details of work performed;
(b): skills used (with reference to the Practice Skills Standards);
(c): the trainee's observations or reflections on his or her performance, including any gaps in his or her experiences or skills;
(d): any other training or professional development; and
(e): any professional conduct issues that may have arisen.

(v)

A sample training contract record form can be downloaded from our website.

(vi)

We recommend an informal performance review about once per month. This will help supervisors and trainees to:

(a): review progress toward agreed objectives;
(b): deal with any difficulties close to the event;
(c): compare the breadth and depth of work being performed by the trainee with the requirements of regulation 6.1 and the Practice Skills Standards;
(d): address any professional conduct or ethics issues that may have arisen;
(e): discuss future training; and
(f): plan future or remedial learning.

(vii)

The training contract record can also be used as part of formal appraisal and informal performance review. In respect of regulation 6.1(d), we recommend that you formally appraise trainees every six months. Further guidance and sample appraisal forms are available.

Regulation 7: Recognition of previous experience

7.1

If you are a training establishment you may grant a reduction in the period of the training contract in recognition of previous experience only if you are satisfied that:

(a)

the trainee's experience on which you base the reduction:

(i): was equivalent to that gained in a training contract;
(ii): was in English law, and in one or more areas of law;
(iii): was gained in the three years immediately preceding the commencement of the training contract;
(iv): allowed the acquisition of one or more of the Practice Skills Standards; and

(b)

the trainee:

(i): was adequately supervised;
(ii): was appraised; and
(iii): worked either full-time or not less than two and a half days per week (or the equivalent).

7.2

If you are a training establishment, you may grant a reduction in the period of the training contract in recognition of previous experience:

(a): of not less than one month (30 days) and no more than six months (183 days); and
(b): the reduction in the period of the training contract is to be calculated as half the period of the previous experience on which the reduction is based.

7.3

If you are a training establishment you must notify us of any reduction in the period of the training contract you have granted under regulation 7.2.

Guidance note:

(i)

You have no obligation to accept previous experience and any reduction in the period of the training contract is entirely at your discretion.

(ii)

In 7.2(b) this half-equivalence means that 12 months' experience can only result in a six month reduction.

(iii)

If you are calculating a reduction in the period of the training contract on the basis described in regulation 7.2(b) for part-time workers, experience should be calculated pro rata on a half-equivalence basis. For example, a trainee who had worked two and a half days per week for 12 months could be granted a maximum of three months' reduction in the period of the training contract.

(iv)

When complying with regulation 7(3), you may notify us either:

(a): on the online form when you register the training contract or;
(b): after registration via our website.

Regulation 8: Appointment of training principal

8.1

If you are a training establishment you must:

(a): nominate a training principal who will be responsible for compliance with the requirements of regulation 15; and
(b): notify us of the training principal's name and of any change of training principal.

8.2

If you are a training establishment you may not take a trainee until your nominated training principal has been approved by us.

Regulation 9: Induction of trainees

9.1: If you are a training establishment, you must provide an adequate induction for all trainees at the beginning of the training contract, including those who have worked for you before in another capacity.

Guidance note:

(i)

You are free to organise trainees' induction in the way that best suits your business or organisation. However, we are unlikely to regard an induction as adequate unless it includes:

(a): an introduction to your organisation, the training scheme, the Practice Skills Standards and your expectations of the trainee;
(b): how the training will be organised;
(c): the form of the training contract record that you want the trainee to keep, how and when it is to be completed, and when it will be reviewed;
(d): arrangements for supervision, informal performance review and formal appraisals;
(e): your office procedures including pastoral care, office hours, holidays, and health and safety;
(f): any other relevant matters, such as your IT and office equipment and systems for time-recording and billing, library and research facilities, secretarial and administrative support.

Regulation 10: Training of trainee solicitors

10.1

If you are a training establishment you must provide each trainee with:

(a): subject to regulation 10.2, the opportunity to develop their skills in contentious and non-contentious work as specified in the Practice Skills Standards;
(b): subject to regulation 10.2, sufficient practical experience in at least three distinct areas of English law for the trainee to be trained properly in each area;
(c): guiding and tutoring in professional conduct, ethics and client care;
(d): a gradual increase in the level and complexity of the trainee's work during the period of the training contract;
(e): proper supervision; and
(f): regular review and appraisal of his or her performance, including guidance and feedback on his or her performance against the Practice Skills Standards.

10.2

If you cannot provide trainees with the range of experience set out in regulation 10.1(a) or (b), you must arrange either:

(a): a secondment, in accordance with regulation 11; or
(b): a modular training contract in accordance with regulation 12;
: for the trainee.

Regulation 11: Secondment of trainee solicitors

11.1

You may arrange a secondment in accordance with regulation 11, even where you can provide the range of experience set out in regulation 10.1(a) or (b).

11.2

If you are a training establishment, and you arrange a secondment for a trainee, you must:

(a): ensure that the secondment complies with the requirements in regulation 10; and
(b): include details of the secondment(s) on the certificate of training at the end of the training contract.

11.3

If you are a training establishment, you may not arrange a secondment:

(a): for a period of longer than one year; or
(b): to an organisation that is not authorised to take trainees

without approval of that secondment from us.

11.4

You do not need to seek our approval for a secondment of up to one year if it is to:

(a): another solicitor's office in England and Wales;
(b): an overseas branch office; or
(c): any other organisation that is authorised to take trainees.

11.5

If you intend to second trainees on a regular basis to an organisation that is not authorised to take trainees, such as a law centre or a client company, you must apply for our approval for that arrangement.

11.6

If you are a training establishment, and are making an application to us for approval for a secondment, you must provide us with:

(a): the name of the organisation where the trainee will be seconded;
(b): details of the type of work the trainee will be doing;
(c): the name and experience of the person who will supervise the trainee during the secondment;
(d): the time period of the secondment; and
(e): confirmation that the requirements of these regulations will be adhered to during the secondment.

Regulation 12: Modular training contracts

12.1

If you are a training establishment, you may only offer a modular training contract if you have:

(a)

made an arrangement for provision of the training contract with other firms as a training contract consortium;

(b)

agreed with the other firms in the training contract consortium a training contract consortium agreement to include the following:

(i): details of how all the duties towards trainees set out in these regulations, in particular regulation 6, will be discharged by the training contract consortium;
(ii): the names of all firms who are members of the training contract consortium;
(iii): specification of the parent training establishment for the training contract consortium;
(iv): arrangements between the members of the training contract consortium for co-ordinating the trainee's training;
(v): financial arrangements between the members of the training contract consortium, including contributions to the training costs, payment of salary, authorisation, registration and PSC fees and expenses;
(vi): adequate safeguards for the discharge of all duties towards the trainees in the event of any of the members of the training contract consortium being unable to discharge their duties under the training contract consortium agreement;
(vii): any mechanisms for dealing with queries and for resolving problems and disputes; and
(viii): adequate safeguards to protect client confidentiality and the confidentiality of the participating organisations' business arrangements.

12.2

If you are a parent training establishment for a training contract consortium you must:

(a): be authorised to take trainees in compliance with regulation 2; and
(b): have a training principal, or appoint a training principal in compliance with regulation 8; and
(c): ensure that the training contracts comply with the requirements in regulation 10.

12.3

If you are a training principal appointed under regulation 12.2(b), you must comply with:

(a): regulation 15; and
(b): any other obligations on training principals set out in these regulations.

12.4

Before taking trainees, a training contract consortium must be approved by us. If you are the parent training establishment, you must provide us with:

(a)

the names, full addresses and contact numbers of the training contract consortium;

(b)

details of the parent training establishment;

(c)

the name of the training principal;

(d)

either:

(i): if the parent training establishment is authorised to take trainees, the date of the authorisation; or
(ii): if the parent training establishment is not yet authorised, an application for authorisation to take trainees;

(e)

details of whether the other training contract consortium members are authorised to take trainees, including, if any are, the date(s) of authorisation and the name(s) of the training principal(s);

(f)

a copy of the training contract consortium agreement;

(g)

the names, job titles, length of legal experience and areas of law practised by the supervisors at each member of the training contract consortium;

(h)

the training contract consortium's recruitment and selection procedures;

(i)

the areas of law in which the trainees are to be provided with experience;

(j)

a timetable and training plan, to include:

(i): proposed start date of the training contract;
(ii): dates on which trainees will move between members of the training contract consortium;
(iii): arrangements for trainees regarding attending the PSC, annual leave and appraisals;

(k)

trainees' induction programme;

(l)

pastoral care arrangements;

(m)

the systems for informal performance review and formal appraisals;

(n)

any provisions to ensure confidentiality of client information;

(o)

any systems for liaison between members of the training contract consortium;

(p)

any mechanisms for resolving problems and disputes; and

(q)

a copy of the training contract(s).

Guidance note:

(i): The aim of a modular training contract is for two or more organisations to provide training as a consortium. It has been designed for firms and other organisations that want to take trainees but are unable, on their own, to meet all the requirements of these regulations.
(ii): A modular training contract, while it may be structured in a different way, should be as close to the standard training contract in terms of form and content as possible. It will need to offer as rich an experience as a standard training contract, and the same quality of training and supervision. Amendments should relate only to the modular nature of the training contract and the final form is subject to approval by us.
(iii): We suggest that, in the first instance, the training contract consortium run a pilot scheme. The pilot scheme would be evaluated and monitored by the consortium and by us-so that any problems could be resolved and good practice could be used for the future.
(iv): Confidentiality matters should be covered at induction and in professional conduct training. The training contract consortium members should also consider an appropriate confidentiality clause in the modular training contract.

Regulation 13: Absences from work of trainees

13.1: If you are a training establishment, you must permit a trainee to have absences from work, during the period of the training contract, in accordance with regulation 25 of the SRA Training Regulations Part 1 - Qualification Regulations.

Regulation 14: Monitoring of training contracts and SRA powers

14.1

We may monitor the training provided by a training establishment, by visits to the premises of the training establishment or other means.

14.2

Either:

(a)

if a:

(i): training establishment;
(ii): training principal;
(iii): person supervising a trainee; or
(iv): trainee;

fails to comply with any of these regulations; or

(b)

if we are not satisfied either that:

(i): a trainee is receiving, or has received; or
(ii): the training establishment can give the trainee;

adequate training;

then we may exercise such of the powers set out in regulation 14.3 as we consider appropriate.

14.3

If any of the conditions in regulation 14.2 are met, we may, as we consider appropriate:

(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 a trainee has served shall not be reckoned as good service under a training contract;

(f)

direct that a trainee:

(i): serve such further period under a training contract; or
(ii): 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.

14.4

Any training establishment or trainee who is aggrieved by any decision made under regulation 14.2 may apply for review of it in accordance with regulation 2.5.

14.5

We may conciliate disputes between a training establishment and a trainee in accordance with regulation 27 of the SRA Training Regulations Part 1 - Qualification Regulations.

Part 4: Training principals

Regulation 15: Responsibilities of training principals

15.1

Regulation 15 applies to training principals, and "you" should be construed accordingly.

15.2

If you are a training principal you must:

(a)

fully understand the requirements of these regulations, and undertake to us your training establishment's compliance with these regulations;

(b)

liaise with us regarding your organisation's, body's, firm's, company's or your trainees;

(c)

advise us of any changes relevant to training, including, if you are ceasing to be the training principal, the name of your successor;

(d)

ensure that anyone involved in the supervision of trainees has adequate legal knowledge and supervisory experience or training;

(e)

ensure that trainees maintain an adequate training contract record;

(f)

ensure that trainees receive regular feedback, informal performance reviews and formal appraisals;

(g)

ensure that there are suitable pastoral arrangements for trainees; and

(h)

at the end of the period of the training contract, provide us with a certificate of training, which confirms that:

(i): there are no circumstances of which you are aware that may affect the trainee's character and suitability to become a solicitor; and
(ii): you are satisfied that the trainee has received training and developed the required skills set out in regulation 10 and in the Practice Skills Standards.

15.3

If you are a training principal, you may delegate the responsibilities in regulation 15.2(a)-(h) to others, on condition that you inform the trainee of the delegation arrangements.

Guidance note:

(i): You should be aware that all trainees are required to obtain a satisfactory criminal record check (standard disclosure) from the Criminal Records Bureau (CRB) in accordance with regulation 35 of the SRA Training Regulations Part 1 - Qualification Regulations.
(ii): A CRB standard disclosure includes details of any current and spent convictions, police cautions, reprimands and final warnings held on the Police National Computer. We also make use of overseas criminal records information services whenever appropriate. The trainee - not the training principal - is responsible for applying for the required CRB standard disclosure. We send trainees CRB check forms and guidance approximately 12 weeks before the scheduled end of their training contracts.
(iii): Participation in industrial action does not, of itself, bring into question the suitability of the trainee to become a solicitor.

Part 5: Supervisors of trainees

Regulation 16: Responsibilities of supervisors of trainees

16.1

Regulation 16 applies to supervisors, and "you" should be construed accordingly.

16.2

Supervisors must be either:

(a): partners, directors, managers, members or other equivalent status;
(b): associate solicitors;
(c): assistant solicitors;
(d): experienced legal executives; or
(e): barristers.

16.3

If you supervise a trainee, you must ensure that, over the course of his or her training, the amount and type of work given to the trainee:

(a): adequately covers each skill within the Practice Skills Standards; and
(b): is of an appropriate level and complexity for the trainee.

Guidance note:

(i)

Training establishments should ensure that supervisors are adequately trained and capable of fulfilling the role. Supervisors need to:

(a): have expertise in the practice area they are supervising;
(b): understand the training requirements and the Practice Skills Standards;
(c): understand the system of training within the practice;
(d): give guidance, advice and feedback to trainees on their performance;
(e): have the skills to supervise effectively;
(f): be enthusiastic and make time for the trainees they are supervising.

(ii)

Trainees should be given work and tasks that will help them to develop their skills and the supervisor's role is to help them achieve this by:

(a): delegating work at an appropriate level, with an increased level of difficulty over time;
(b): giving clear instructions on what needs to be done, with sufficient background information and sources of research;
(c): monitoring the trainee's workload to ensure that it is not too much or too little;
(d): giving work that requires the trainee to use different skills with a balance of substantive and procedural tasks;
(e): giving regular feedback on the trainee's performance, recognising achievements and ensuring areas that need improvement are discussed; and
(f): ensuring that the trainee keeps a training contract record.

(iii)

Regulation 6.1(c) requires training establishments to provide close supervision for trainees.

(iv)

Regulation 15.2(d) requires training principals to ensure that anyone who supervises trainees has the appropriate legal knowledge and supervisory experience or training to perform the role effectively. The aim of such supervision is to achieve compliance with regulation 10.1.

(v)

In order for the supervisory role to be performed effectively, supervisors must be allocated adequate time and resources, and must have a sound understanding both of the training requirements and of all that is expected of them as supervisors.

(vi)

Typical supervisors' responsibilities which support compliance with regulation 16 are to:

(a): allocate work and tasks of an appropriate level, gradually increasing the level and the complexity of the work over time, while encouraging the trainee to suggest solutions independently;
(b): provide a balance between substantive and procedural tasks that - as a whole - demand the use of a broad range of skills;
(c): provide clear instructions and ensure that they have been understood;
(d): offer advice and guidance on appropriate research methods and materials along with sufficient information and factual background about a case or matter;
(e): set a realistic time-scale for work to be completed and answer questions as they arise, within a supportive environment that does not deter the trainee from asking questions in the future;
(f): monitor the trainee's workload to ensure they have a sufficient but not excessive amount of work;
(g): ensure that the trainee maintains an up-to-date training contract record that identifies the work they have performed and the skills they have deployed;
(h): review the training contract record regularly to ensure that an appropriate balance of work and skills is struck, and to ensure that the trainee is undertaking work of a breadth and depth sufficient to meet the requirements of regulation 10.1 and the Practice Skills Standards;
(i): give regular feedback to the trainee regarding their performance, recognising achievements and improvements, and constructively addressing areas that require further effort;
(j): conduct or participate in formal appraisals of the trainee; and
(k): provide an environment that encourages the trainee to take responsibility for his or her own development.

Part 6: PSC providers

Regulation 17: Authorisation of PSC providers

17.1

Regulation 17 applies to:

(a)

a PSC provider; or

(b)

in relation to:

(i): application for authorisation to provide the PSC; or
(ii): application for a review of our decision relating to authorisation to provide the PSC;

the applicant; and

"you" and "yourself" should be construed accordingly.

17.2

You may only provide the PSC if:

(a)

you are authorised or re-authorised to do so by us;

(b)

your period of authorisation has not expired, this period being:

(i): three years from the date of authorisation; or
(ii): five years from the date of any subsequent re-authorisation;

and

(c)

you have appointed a PSC course director.

17.3

You may apply for one of three types of authorisation or re-authorisation in respect of the PSC:

(a)

authorisation to provide compulsory core instruction in one of the three subject areas;

(b)

authorisation to provide:

(i): compulsory core instruction in one or more of the three subject areas; and
(ii): electives in one or more of the subject areas in which authorisation to provide compulsory core instruction is not sought;

(c)

authorisation to provide one or more electives only.

17.4

In order for you to be authorised or re-authorised, you must provide us with:

(a): an application form, containing information about your organisation, body, firm, company or yourself as an individual;
(b): the name and details of the PSC course director;
(c): any supporting documentation required by us; and
(d): the authorisation fee set by us from time to time.

17.5

If you are an authorised PSC provider, you may yourself accredit an elective you offer, if that elective is:

(a): in any subject area which you are already authorised to provide compulsory core instruction; or
(b): in any subject area in which you are already authorised to provide elective instruction.

Guidance note:

(i)

The PSC builds upon the LPC. It comprises compulsory core subject areas and electives. The compulsory core subject areas are:

(a): Financial and Business Skills;
(b): Advocacy and Communication Skills; and
(c): Client Care and Professional Standards.

(ii)

The coverage of both compulsory core subject areas and electives are set out in the PSC Standards.

Part 7: Waiver, forms and fees

Regulation 18: Waiver of regulations

18.1: 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 19: Forms and fees

19.1

Any application made or notice given to us must be in the prescribed form and accompanied by the prescribed fee.

19.2

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.

19.3

We may require the applicant or the person giving notice to provide any further information we consider necessary.

19.4

We may:

(a): require any application to be supported by such evidence as we consider necessary;
(b): require facts relevant to any application to be deposed to us by statutory declaration; and
(c): require the attendance of the applicant for interview.