Form RSPR – Recognised sole practitioner renewal
Last updated 24 September 2009
Renew your authorisation to practise as a recognised sole practitioner for 2009/10
The RSPR form is part of the PC, or REL registration renewal application, and is for a solicitor or REL to apply for renewal of their authorisation to practise as a recognised sole practitioner in England and Wales (as required by rule 20.03 of the Code) under the SRA Practising Regulations 2009.
This form should be completed by all solicitor and REL recognised sole practitioners wanting their recognition renewed on 1 November 2009.
If this form is used, it is the personal responsibility of the recognised sole practitioner to ensure that
- a completed application has been made,
- that statements made on the form are correct, and
- the fee is paid – if we do not receive the fee, your application form will not be processed.
RSP renewal notes
It is important to refer to these notes to complete form RBR. Click Quick links to content above to navigate to the relevant section. To return to the top of the page, use your browser's Back button; if you have a recent browser, click the arrow icon on the right of the screen.
About form RSP Renewal
The RSP Renewal form is part of the practising certificate, or REL registration renewal, application and is for a solicitor or REL to apply for renewal of their authorisation to practise as a recognised sole practitioner in England and Wales (as required by rule 20.03 of the Solicitors' Code of Conduct 2007) under the SRA Practising Regulations 2009. Please note that your authorisation will be shown on your practising certificate, or registration certificate, and will not be issued as a separate certificate.
You can also use this form to update us on any changes to your firm's contact details.
You cannot use this form to apply for approval to set up a sole practice after a change in composition of a partnership recognised body—in those circumstances you must apply for initial recognition on form RSP1 or, in appropriate cases, for Temporary Emergency Recognition (TER) on form RSPTER. If you need TER and have not yet applied, see "How to contact us" below for advice and for the appropriate application form.
You must not start practising as a sole practitioner until approval has been granted by us.
All references (unless otherwise stated) mean the following:
You may find the FAQs section helpful when completing Form RSP renewal.
How to use the form
Please answer all questions and complete all the relevant boxes. You may find it helpful to refer to the glossary at the end of these notes.
If you make an error during completion of the form please put a line through any deletions. Do not use liquid paper.
If you are providing any additional information in separate sheets or documents, please provide a list of the enclosures and mark each document clearly with the section of the form to which it relates.
The declaration must be signed and dated before submitting the form.
Please note that we will not be able to process your application until we have a completed application. This means one that:
- includes the completed practising certificate, or REL registration renewal, application form, including RSP1, and the appropriate fee;
- provides sufficient information to show compliance with the requirements of regulation 4.2(a) of the Practising Regulations i.e. that
- the firm will practise as a sole practitioner from an office in England and Wales
- the firm has appropriate indemnity insurance cover
- you are qualified to supervise
- your firm name complies with rule 7 of the Code; and
- provides any additional information that the SRA requests in connection with the matters in regulations 4.2 and 4.3 of the Practising Regulations or any other aspect of the application (we may request this after you submit your application form to us).
You can contact us at
Operations
Solicitors Regulation Authority
Ipsley Court
Berrington Close
Redditch
Worcestershire or DX 19114
B98 0TD Redditch
Useful information
Do I need to submit my RSP Renewal form with my PC application?
The RSP Renewal form is part of the application for your PC, or renewal of your registration if you are an REL, so should be submitted with your PC or registration application where possible. The renewal of your RSP authorisation will be shown on your PC or registration.
What do I do if I have closed my practice?
If you closed your firm during the year, please complete section 1 of the RSP Renewal form to confirm this, and return it with your PC or REL registration application.
Who to include on the form?
We only need your details and those of any other main contacts in your firm.
If you use form RF1 for bulk renewal of practising certificates and registrations for RELs and RFLs, you can use Form RF1 to update us about your employees so that we can ensure our records are accurate. If you do not use RF1, any new employees (including locums) who are solicitors, RELs or RFLs can update the SRA using RF3 (solicitors), RF7 (RELs) or RF4 (RFLs), or by using our Change of practising details form.
What about salaried partners, associate partners and others held out as partners?
Anyone described as a salaried partner or associate partner, or otherwise held out as a partner, in a firm will be a partner of that firm (see rule 24 of the Code). If you wish to have such partners, you cannot practise as a recognised sole practitioner and should apply for recognition of your firm as a partnership on form RB1.
Do locums and consultants need to apply for separate authorisation?
Anyone working only as an "employee" will not need to be a recognised sole practitioner. Subject to the conditions in rule 24, employee can include a solicitor or REL working under a contract for services.
How can I pay?
You can pay the full amount of your practising certificate fee, including your RSP renewal, by cheque, postal order, bank transfer or credit card.
Please note there will be a handling charge of 1.75% for Mastercard/Visa/Maestro/Delta/Electron payments, and that we do not accept Diners or American Express. Please complete the credit/debit authorisation form (enclosed with the application form) if you wish to pay by credit/debit card and return it with your application form. If the credit card authorisation/cheque is not signed or payment is not enclosed, we will return your application to you. You may also pay by cash at your own risk, but the SRA will not accept responsibility for monies that we do not receive.
Who should I make the cheque payable to?
Please make your cheque payable to the Law Society and write your firm's SRA number (see "Firm details" section 2 of the form for your firm's SRA number) on the back of the cheque. All foreign cheques need to be endorsed, i.e. signed and dated on the reverse by the drawer. Please note that it may take up to eight weeks for a foreign cheque to clear our account and your application will not be processed until cleared funds have been received.
Will I receive a receipt for the cheque and form?
The SRA does not issue receipts for application forms or cheques.
Section 1 – Applicant details
Name
This is your full name as shown in SRA records. If this is incorrect please amend the form and provide an explanation in your covering letter together with, if appropriate, any supporting documents e.g. your marriage certificate.
SRA number
This is your personal SRA ID number.
Email address
If the email address we have for you is incorrect, please amend it. If this box is blank, please add your email address.
Do you wish to renew?
If you have closed your firm, or will do so by 31 October, please complete section 1 of the form and return it with your PC application. Please note that if you are continuing to carry out any work on clients' matters you will need to apply for renewal of your authorisation. Matters related purely to closing a firm such as arranging for safe storage of files and submission of a cease to hold accountant's report will not require you to be authorised.
Section 2 – Firm details
Name of firm
This is the full name of the firm. This may not be the only name under which the firm will trade, but is the registered name of your sole practice which appears on the SRA 's register of holders of practising certificates or register of European lawyers, as appropriate.
SRA number
This is your firm's reference number (rather than your personal ID number), which identifies the firm and appears on the SRA 's public register. You must show your firm's SRA number, together with the firm's name, on your website and emails as well as on your letterhead (rule 7.07 of the Code – please complete any changes as soon as you can although note that rule 25 allows a transitional period until 1 January 2010).
Head office
Please check the main practice address and contact details of your head office and make any necessary amendments. Please provide the specific date(s) that any change(s) took effect so that we can update our records accurately.
Does the firm trade under any other names?
Please provide details in the "Additional information" box (and on a separate sheet if necessary) of all trading names that you use for your firm so that we can identify any part of the firm about which we are asked. For this renewal, you need to tell us all of your trading names even if you have given us details of some or all of them before (we hope to be able to pre-print these details on future renewal forms).
Please note that if you adopt any new trading name(s) between renewals of your RSP authorisation you must let us know as all practising styles must be shown in our registers (see regulations 10.2(g) and 11.2(h) of the Practising Regulations).
Please note that if you practise under a name other than the name under which your firm is registered with the SRA, you must include the "registered" name (and your firm's SRA ID number) on your letterhead, website and emails (rule 7.07 of the Code).
For any new trading names, please say in your covering letter whether the firm will hold client money under that trading name.
Section 3 – Other offices
Please check the address and contact details of the other office(s) shown in section 2 and make any necessary amendments. If any of your offices shown in this section has been closed, please give the date of closure so that we can update your record.
Please note that if your firm has no offices other than your head office, this section will be left blank.
Section 4 – New offices
We need to have details of all offices of your firm, including overseas offices, so that we know where the practice is located. Please provide the addresses and contact details of any new offices and any other places of business from which your firm practises if they are not pre-printed in sections 2 and 3. Other places of business might be, for example, a consulting room of which you have exclusive use although no members of the firm are based there.
If you have more than one new office, please photocopy this section before completion and submit any additional pages with your list of enclosures (see the notes to section 12 – Returning the form).
For any new offices, please say in your covering letter whether the firm will hold client money under that trading name.
Section 5 – Client money
Solicitors
For a solicitor the questions relate to all offices of the firm except where the question specifies England and Wales.
RELs
For an REL the questions relate to all offices in the firm in the UK except where the question specifies England and Wales.
Definition of client money
For practice in England and Wales, "client money" is defined in rule 13 of the Solicitors' Accounts Rules 1998:
"All money held or received in the course of practice falls into one or other of the following categories:
- 'client money' – money held or received for a client or as trustee, and all other money which is not office money; or
- 'office money' – money which belongs to the solicitor or the practice."
For practice outside England and Wales, client money is defined in rule 24 of the Code as "money you receive or hold for or on behalf of a client or trust".
Since 1 November 2008 has the firm held or received client money?
This section of the form will be pre-printed, please amend if necessary and provide the specific date of any changes to ensure we are able to update our records accurately (for further guidance see the notes to the next question).
You must answer the remaining questions in this section as the information will not be pre-printed, even if you have previously given the SRA this information.
Since 1 November 2008 has any individual in the firm
- held or received client money?
- operated a client's own account as signatory in relation to practice from an office in England and Wales ?
For practice in England and Wales—rule 35 of the Accounts Rules—requires that if the firm or any individual in the firm holds or receives client money (including controlled trust money before 31 March 2009), or operates a client's own account as signatory (e.g. as an attorney) an accountant's report is required.
For practice outside England and Wales, rule 15.27 of the Code requires that if the firm (including any individual within the firm) holds or receives client money (including controlled trust money before 31 March 2009), an accountant's report is required.
Has the firm ceased to hold client money?
You would answer "yes" to this question if the firm and all individuals within the firm have ceased to hold or receive client money (including controlled trust money, if applicable) and ceased to operate any client's own account as signatory.
The date you give will be the last date on which any such activity took place. We will expect a "cease to hold" accountant's report within six months of that date.
Individuals
Note that the accountant's report form sets out which individuals' names must appear on the report in addition to the name of the recognised sole practitioner, e.g. any employee or consultant who holds money as a trustee or operates a client's own account as signatory.
Section 6 – Main contacts
The SRA contacts firms at various times throughout the year. To help us ensure effective communication channels we ask for the details of the most appropriate contacts in a number of areas.
Please check the contact names and make any necessary amendments and provide the date(s) any change(s) took effect.
Firm contact
The most appropriate person for us to contact about issues relating to the firm as a whole, such as any regulatory or compliance issues relating to the firm, as well as, for example, canvassing information about or views from the firm.
If this contact person is not the sole practitioner, he or she would need to be of sufficient seniority and responsibility to be the first point of contact for compliance issues that could arise relating to the firm.
Designated complaints handler
The person who is responsible for complaints handling (see rule 2.05 of the Code). If a number of people in the firm deal with complaints, the person named should be the most convenient contact.
Money laundering nominated officer
Please name your money laundering nominated officer (also known as a Money Laundering Reporting Officer) as required by the Money Laundering Regulations 2007. Most firms are required to have a nominated officer but not all (see the Law Society's practice note "Anti-money laundering practice note").
If you are not required to have a money laundering nominated officer please write "N/A".
Please note that if you are not the nominated person, he or she should be of sufficient seniority and in a position of sufficient responsibility to enable him or her to have access to all of the firm's client files and business information. Firms regulated by the Financial Services Authority (FSA) will need to obtain its approval to the appointment of the nominated officer, as this is a controlled function under the FSA's rules.
Accountant's report contact
The most appropriate person for us contact about the firm's accountant's reports. Please note this person should have sufficient responsibility for this purpose.
Financial Services Authority (FSA) compliance officer
The compliance officer is the person within the firm who is responsible for ensuring compliance with the Solicitors' Financial Services (Scope) Rules 2001 and the Solicitors' Financial Services (Conduct of Business) Rules 2001. The compliance officer need not be the sole principal or a solicitor, but ought to be someone with sufficient seniority within the management structure.
You may deal with a variety of insurance contracts such as life policies, after-the-event legal expenses policies, unoccupied property insurance, restrictive covenant and defective title indemnity policies. As the FSA regulates most contracts of insurance, you will need to consider whether you can carry out insurance mediation activities.
Insurance mediation is the term used to describe the financial services activities which arise in respect of insurance contracts. You will be carrying out an insurance mediation activity if you
- deal as an agent in contracts of insurance;
- arrange, or make arrangements with a view to a person entering into, a contract of insurance;
- assist in the administration and performance of a contract of insurance;
- advise on the merits of buying or selling a contract of insurance; or
- agree to carry out any of the above.
Firms working from within the designated professional body (DPB) regime, which will be the vast majority of firms, will be able to carry out insurance mediation activities provided they can sati sfy the basic conditions in the Solicitors' Financial Services (Scope) Rules 2001.
All firms carrying out insurance mediation activities (whether they are regulated by the FSA or not), must be included in the FSA Register and appoint a compliance officer. Firms which are not authorised by the FSA will appear in the part of the register known as the Exempt Professional Firms (EPF) register. We will ensure that firms regulated by us, under the DPB regime, will comply with this requirement if they advise us that they are carrying on insurance mediation, and provide us with details of the firm's compliance officer.
By providing the name of your firm's compliance officer you are confirming that the firm carries out insurance mediation activities.
Training contact
The person to whom all correspondence about trainee solicitors should be sent.
Section 7 – Indemnity insurance
The Solicitors' Indemnity Insurance Rules apply to all recognised sole practitioners.
Insurance cover
You are required to submit details of your qualifying insurer's name, the policy number and period of cover. The list of qualifying insurers can be found on the website www.sra.org.uk/indemnity. Please ensure the details provided are not those of an insurance broker.
Period of cover
The indemnity year runs from 1 October – 30 September. You must ensure that there is not a break in your firm's cover as this would breach the Solicitors' Indemnity Insurance Rules.
More than one insurer
If your indemnity insurance cover is provided by more than one qualifying insurer, please provide details of the additional policy(ies) in the additional information box on the form. In respect of each policy, please give the name of the insurer, the policy number and the period of cover.
Exemptions
If you are an REL and you have insurance under your home professional rules and have been granted exemption/partial exemption under appendix 3.1/3.2 of the Solicitors' Indemnity Insurance Rules in respect of your practice, please provide the details requested of the exemption and of the insurance cover.
Assigned Risks Pool
If you have not been able to obtain indemnity insurance with a qualifying insurer and you are insured through the assigned risks pool (ARP) you must show "assigned risks pool" as your insurer. Please provide the ARP policy number and the date on which the cover commenced. If your indemnity insurance cover is through the ARP, please provide details in your covering letter of the reasons you have not been able to obtain cover with the qualifying insurers.
You can contact the assigned risks pool at
Capita Commercial Insurance Services Ltd
40 Duke Place
London
EC3A 7NH
ARP@capita.co.uk
0870 402 7788
Evidence of cover
You do not need to send in evidence of the indemnity cover unless the SRA requests it.
The SRA will not renew your authorisation as a recognised sole practitioner if you do not have indemnity insurance for your firm under the Minimum Terms and Conditions appended to the Solicitors' Indemnity Insurance Rules.
Section 8 – Other information
In this section we are seeking information to help us understand more fully the ways in which firms actually practise, and therefore develop a profile of the profession and potential regulatory risk factors. Our aim is to develop a system of risk-assessment so we are better able to target our resources and pre-empt regulatory difficulties in the interests of the public and the profession.
We are trying to gather information about professional independence and areas of influence that might affect firms. We need this to help us establish that firms are complying with the law and are not subject to any improper control. Although firms can now have broader ownership and control, the Legal Services Act 2007 and the Code still require majority ownership and control (75%) by lawyers, and control only by the owners and managers of a firm. You may find it helpful to refer to our guidance on independence, ABSs and "jumping the gun".
We hope that the information will also help us to develop our understanding of professional independence, and how this can best be applied in the new regulatory framework to alternative business structures.
This will be a continuing project to improve our regulatory effectiveness, so we will ask for updates of the information provided at each annual renewal of recognition. This information may be taken into consideration when considering your application for renewal of your authorisation under regulation 4.2 of the Practising Regulations. However, we will be unlikely to exercise discretion to refuse an application based only on the information provided in this section, although it may lead us to contact you and make further enquiries to help us with the decision.
1. Associations – Introductions and referrals
Rule 9 of the Code sets out the requirements concerning referrals of business.
Please tell us if you have any arrangements with third parties (other than with lawyers) for introducing clients to your firm, even if there is no "financial arrangement".
If you have answered "yes", please give us the following details in respect of each introducer, on a separate sheet:
- the name of the organisation or individual with whom you have an arrangement for introducing work;
- the date of commencement of the agreement;
- the area(s) of work involved (e.g. conveyancing, personal injury);
- the percentage of your firm's total fee income arising during your last accounting period from your arrangements with each introducer. If you have not yet completed an accounting period, please provide details of the percentage arising in your first 12 months of practice. If you have not yet completed 12 months, please provide an estimate of the percentage of your first 12 months' fees, based on your fees and the sums that have arisen to date;
- the total sum or details of any other consideration (see below) which you have paid or given to the introducer during your last accounting period. If you have not yet completed an accounting period, please provide details in respect of your first 12 months of practice. If you have not yet completed 12 months, please provide an estimate of the amounts for your first 12 months, based on your fees and the sums or other consideration paid or given to date.
(Other consideration might be, for example, provision of services or secondment of staff to the introducer, or an agreement to purchase services or products from the introducer where the purchase is a condition of referrals being made to you.)
For detailed guidance on referrals visit www.sra.org.uk/referrals.
Associations – Sharing fees
Rule 8 of the Code sets out the types of fee-sharing arrangements that firms can have.
Please tell if you have any arrangements with any individuals or organisations outside of your firm (other than lawyers or their firms) to share fees with another party, or to receive a share of the fees of another party.
If you have answered "yes" to either question, using a separate sheet, please give us the following details in respect of each third party:
- the name of the organisation or individual with whom you have an agreement;
- the date of commencement of the agreement;
- brief details of the nature of the arrangement;
- the area(s) of work involved, if an arrangement relates to a particular area (e.g. conveyancing, personal injury);
- the percentage of your firm's total estimated fee income paid, given and/or received under such arrangements during your last accounting period. If you have not yet completed an accounting period, please provide details of the percentage paid/received in your first 12 months of practice. If you have not yet completed 12 months, please provide an estimate of the percentage of your first 12 months' fees, based on your fees and the amounts paid/received to date;
- the total sum or details of any other consideration (see below) paid, given and/or received under such arrangements during your last accounting period. If you have not yet completed 12 months, please provide an estimate of the amounts for your first 12 months, based on your fees and the sums or other consideration paid, given or received to date.(Other consideration might be e.g. provision of services or secondment of staff to a third party, or an agreement to purchase services or products from a third party where the purchase is part of a fee sharing arrangement.)
2. Involvement/influence
Please provide details of any contractual or other type of relationship that you have that might affect, or might be perceived to affect, the integrity or independence of your firm. This type of situation is likely to be unusual, but might arise, for example, where
- an individual's role in the firm could include being a representative in any way of a non-lawyer body which he or she is involved in,
- the role or involvement of an employee in the running of the firm includes some element of control over it,
- finance agreements or loans to your firm have particular strings attached,
- certain contractual conditions in agreements with referrers of business or funders effectively pass control of your firm to an outside body,
- granting an option to purchase your interest in your firm is for nominal value,
- you form a relationship or enter arrangements that put any outsider in de facto control of any aspect of your firm.
If you have answered "yes", please provide details on a separate sheet of the relevant circumstances.
3. Other roles
This question is not aimed at trying to identify, for example, where principals work on a part-time basis or are involved in "out-of-work" activities such as coaching the local football team. What we want to identify is whether there are certain types of situation where firms' effectiveness, or even compliance, might be affected by principals' other activities. This may be as a result of time spent away from the firm, or the nature of another role might in some way interfere with your responsibilities to the firm and clients.
If you have answered "yes", please provide details on a separate sheet with a brief summary of the relevant role(s) held outside of the firm. Again, this type of situation may well be unusual, but might arise, for example, where
- a sole practitioner plays a major role in another firm or is, for some other reason, frequently absent from the firm,
- a sole practitioner is a member of or owns a non-legal business, the business demands of which might affect the firm,
- a significant number of non-executive directorships that are not related to the work of the firm are held by a sole practitioner, or where the nature of such positions, may compromise the principal's role or work in the firm.
We do not intend to capture here information, for example, about trusteeships if these roles are undertaken as part of the normal activities of a principal as representative of the firm and do not clash with the interests or needs of the firm.
4. Gross fees
The information requested is intended to mirror that sought by the qualifying insurers, but note that we only request details of your fees from work from your offices in England and Wales.
This information will help us to develop our profiles of firms and, importantly, we hope that it will help us to develop a more effective system of collecting fees and contributions. We now regulate on a firm-based approach and our aim is to develop a fee model that reflects this and is transparent and fair.
It is acknowledged that information about firms' fees is commercially sensitive. We will use it for regulatory purposes only and it will not be used in a way that allows the information to be attributed to a particular firm.
For these purposes gross fees means all professional fees of the firm for the latest complete financial year including remuneration, retained commission, and income of any sort whatsoever of the firm and notarial fees where a solicitor notary operates a notarial practice in conjunction with a solicitor's practice, but excluding only:
- interest;
- the reimbursement of disbursements;
- any amount charged in respect of value added tax;
- remuneration derived from any office excluded from the definition of private practice in the Solicitors' Indemnity Insurance Rules;
- dividends;
- rents received by the firm;
- income and capital profits from reserved funds established, or other investments made, by the firm.
(Definition taken from Appendix 2 Minimum Terms & Conditions appended to the Solicitors' Indemnity Insurance Rules.)
5. Areas of work
This information will give us a better understanding of both the areas and range of work that firms undertake to help develop our risk assessment approach to regulation. The information is not intended to be used in isolation in any individual regulatory matter.
The list of work areas provided on the form is one that is intended to cover all of firms' work types so that we have comparative data, please do not alter the categories. If for some reason your work cannot be fully covered by these categorisations, please provide details in your covering letter as this will help us when we review the categories.
The total percentages of your work types should add up to 100% but if there is a minor discrepancy this will not necessarily cause a difficulty.
This is a step in developing our risk assessment work and we appreciate that the categorisations may not be ideal for all firms. If you have difficulties, you should provide the best information that you can, with full details in a covering letter of specific issues encountered in completing the form and how you have approached this. Your feedback is important. Your choice of category will depend on the particular work you have undertaken but the comments and suggestions below may assist with areas where we think firms might have differing approaches.
Arbitration and dispute resolution
This will include alternative dispute resolution and arbitration work. "Litigation – other" would encompass all those types of dispute work not specifically covered elsewhere in the list.
Commercial/corporate work for public or non-public companies (i.e. listed and unlisted companies)
In circumstances where you act in relation to both listed and unlisted companies you may need to decide between these risk categories. For example, if you act for a group of companies where some are not listed but the parent company is, the work is likely to be best categorised as for public companies. Likewise, if acting for a listed company in acquiring an unlisted company the work may also be best categorised as "public".
When carrying out commercial/corporate work for non-corporate clients, such as a building society, an LLP or a government body, this can be included in the "commercial/corporate for non-public companies" category—please give details of what has been included.
Landlord and tenant
All such work should be included, whether the work is commercial or domestic.
Other work areas
The list of work types is intentionally short and cannot include all categorisations that will be used by firms. However, the following comments may help:
Banking / international capital markets / competition / anti-trust / solvent re-structuring work
These work types are not separately categorised at this stage. The y are likely to be most appropriately included within "Commercial/corporate" category.
Pensions
Much pension related work, such as establishing and running funds, advising on issues relating to ongoing funds, and so on is likely to be classed as "employment", but there could be variations, for example pension dispute resolution would be more appropriately included within "litigation – other". In some instances the commercial/corporate category may also be appropriate.
Regulatory investigations
This is more likely to be more appropriately included in "non-litigation – other" than in "criminal" or "commercial/corporate".
6. Fee earners
We are aiming here to get a picture of the overall number of fee earners in firms, and expect that this is management information that firms will have to hand. We are only aiming to get a "snapshot" of the firm at the time you complete the renewal application. It is not intended to be a highly technical calculation, although if it appears later that details have been misrepresented this will be treated seriously.
The number of fee earners you have means the total number of full-time equivalent (FTE) individuals (both lawyer and non-lawyer) generating fee income for the firm.
Examples of fee earner roles:
- Solicitor or other lawyer e.g. barrister, legal executive, etc.
- Trainee solicitor,
- Paralegal, research assistant, non-lawyer consultant,
- Specialist support staff,
- Professional support lawyers and lawyer managers (indirectly contributing to fee income),
- Support/administrative staff doing fee earning work.
This would exclude support/administrative staff whose work might result in incidental expenses/disbursements such as charges to a client for photocopying but would include, for example, member of staff photocopying a bundle of documents for court if they had reviewed the file and decided the contents of the bundle themselves.
Example – a solicitor whose role is dedicated to client matters and who works three days per week, should be counted for these purposes as equivalent to a non-lawyer who spends 60 per cent of their time on activities which generate fee income for the firm and 40 per cent on non-fee earning activities (e.g. administrative support). Each of these individuals would represent 0.6 FTE.
7. Negligence claims
We are seeking information on the number of claims made or intimated to the firm in the last indemnity period, as well as those that have been paid, which is likely to reflect the information that you will have prepared for indemnity insurance renewal. We understand that such information is unlikely on its own to be indicative of risk, but as part of a greater range of information it will help us to identify whether there are combinations of factors that might indicate risk patterns.
Claim – For these purposes a "claim means a demand for, or an assertion of a right to, civil compensation or civil damages or an intimation of an intention to seek such compensation or damages. For these purposes, an obligation on a firm and/or any insured to remedy a breach of the Solicitors' Accounts Rules 1998 (as amended from time to time), or any rules which replace the Solicitors' Accounts Rules 1998 in whole or in part, shall be treated as a claim, and the obligation to remedy such breach shall be treated as a civil liability for the purposes of clause 1 (see below), whether or not any person makes a demand for, or an assertion of a right to, civil compensation or civil damages or an intimation of an intention to seek such compensation or damages as a result of such breach" (Minimum Terms & Conditions appended to the Solicitors' Indemnity Insurance Rules).
Note – Clause 1 of the Minimum Terms & Conditions deals with the scope of cover provided by the indemnity insurance in the case of civil liability.
Section 9 – Character and suitability
In considering an application for renewal of authorisation, the SRA can take into account the matters in 4.2(c) of the Practising Regulations—see the notes to section 10 below.
Regulation 3.1 – You must declare whether you have been subject to or affected by any of the matters listed in Regulation 3 of the Practising Regulations since your last declaration to the SRA.
Honesty, integrity and respect for law
You must also declare if you have been involved in other conduct which calls these matters into question since your last declaration to the SRA.
You must provide information about matters which are not the subject of another question on the form, but are or may be relevant to the consideration of your character and suitability—for example:
- a caution,
- a warning,
- an Anti-Social Behaviour Order,
- a charge/conviction relating to an offence which is not indictable
- an investigation or any disciplinary action by a professional/regulatory body since you were last issued with a practising certificate/registration.
You will need to provide all documentation relating to such matter(s).
Period of declaration
For solicitors this declaration should cover the period since the issue of your last practising certificate. For RELs it will be the period since you were registered, or your last renewal, in the register of European lawyers.
Spent convictions
Please note that convictions which are "spent" under the Rehabilitation of Offenders Act 1974 must be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) (Amendment) (England and Wales) Order 2008.
Section 10 – Declaration of compliance
Knowingly or recklessly giving the SRA information which is false or misleading in a material particular, or failure to inform the SRA of materially significant information of which you are aware, may lead to disciplinary action by the SRA or revocation of your approval to practise as a sole practitioner.
The SRA reserves the right to carry out or to request you to carry out fresh checks in relation to your compliance with the SRA 's rules and relevant legal requirements.
Signing the form
The form must be signed by the solicitor or REL who is applying for renewal to practise as a sole practitioner. After signing, please also date the declaration.
Determination of application
The Practising Regulations allow us to take account of certain matters and to grant or refuse an application (regulation 4.2(a) to (c)). We can also attach conditions to your practising certificate or registration as an REL which we consider appropriate in the public interest (regulation 6), for example preventing you undertaking certain activities. Please note that you will be asked to return your practising certificate to us if your application is granted, so that we can endorse your approval on the certificate.
The regulations also permit us to revoke approval to practise as a sole practitioner in appropriate circumstances (regulation 9.2(b)).
Appeals
Under Practising Regulation 7, you can appeal against a decision of the SRA to reject the application for approval or to impose a condition. Note that there are time limits.
Notes to Section 10 declarations
- The form must be signed by the sole principal applying for approval.
- If you describe anyone as a salaried partner or associate partner, or otherwise hold anyone out as a partner in your firm, they will be regarded as a partner of the firm (see rule 24 of the Code). If you have such partners, you cannot practise as a recognised sole practitioner and should apply for recognition of your firm as a partnership on form RB1.
Section 11 – Fees
The fee for your application to renew your authorisation to practise as a recognised sole practitioner from 1 November 2009 to 31 October 2010 is part of your practising certificate/ REL registration fee. Please refer to your PC or registration application form (and notes) for details of the fee relating to the issue of the standard certificate; to renew the authorisation on your certificate there is an additional differential sum payable of £90.
The fee for your practising certificate/ REL registration includes your Compensation Fund contribution. The re is no additional Compensation Fund contribution relating to renewal of your authorisation.
How to pay
Please refer to our information on "Ways to pay".
Your application will not be accepted without the correct fee.
Section 12 – Returning the form
Please provide a list of any additional documents that you are sending, including additional pages, other supporting documents and information, and any other forms (e.g. form RF3 to apply for a PC). Please mark each document clearly with the section of the form to which it relates.
Please send the form, appropriate fee and all documents to the SRA 's postal or DX address given in Section 12 of the form.
Section 13 – Application checklist
Please refer to the checklist to ensure that you have completed the form and provided the information we need, so that we can deal with your application as quickly as possible.
Glossary of terms
Refer to our glossary of terms.
Please use www.sra.org.uk/rspr to link to this page.