SRA Handbook

Introduction to the Training Regulations Part 2 - Training Provider Regulations

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

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:

1. uphold the rule of law and the proper administration of justice;
2. act with integrity;
3. not allow your independence to be compromised;
4. act in the best interests of each client;
5. provide a proper standard of service to your clients;
6. behave in a way that maintains the trust the public places in you and in the provision of legal services;
7. comply with your legal and regulatory obligations and deal with your regulators and ombudsmen in an open, timely and co-operative manner;
8. 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;
9. run your business or carry out your role in the business in a way that encourages equality of opportunity and respect for diversity; and
10. 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.