Last updated 7 September 2009
Recognised bodies (RB) and recognised sole practitioners (RSP)
Forms
When will we receive the application forms and who will they be sent to?
The practising certificate (PC) applications (for individuals) and the RB/RSP renewal forms (to renew your firm's recognition or sole practitioner authorisation) will begin to arrive at firms from early September and all forms should be despatched by the first week in October. The RB/RSP renewal form will be sent to your entity contact and the PC renewal (RF1) will be sent to your PC renewal contact. If we don't have an entity contact, both forms will be sent to the PC contact.
Are there notes to help us complete the renewal application and, if so, where are they?
There are notes to assist with all of the renewal applications click on the application name from the menu (on the left-hand side) or see our index of applications.
Why two forms couldn't you have combined these renewals in one application?
Unfortunately our current IT system does not support a combined renewal form in 2009. However, the forms have been amended to avoid duplication as far as possible and both forms will be pre-populated with information we hold about your firm.
Will you be asking for new types of information in the RB/RSP renewal form and will it cause a problem if we can't provide it?
To help us develop our risk-based approach to regulation and target resources the renewal forms will ask you to provide or update your information about associations with third parties, outside involvement and influence, turnover, work areas, fee-earners and claims against the firm. Accompanying notes with the application form provide further detail to help you.
If the information is not provided the application is incomplete and we will not be able to renew your recognition or authorisation, so it is very important to complete the forms fully.
What can we do if we think we will have a difficulty providing the new information you are asking for?
The information requests are modelled to a large extent on those of the qualifying insurers and we believe that the details should be readily available. The notes will provide help in completing the form. If you have a particular difficulty, such as how to categorise your areas of work, please provide what you believe is the correct information but give us details of the issue and how you have dealt with it in your renewal application. We review the forms annually so feedback is helpful.
Do we need to return both the RB/RSP renewal and PC application forms together?
Yes, please. You can make separate payments for each application, or you can make one combined payment for both applications but only if you return both forms together.
What happens if I can't return the applications by the renewal deadline?
It is important that your firm has internal processes in place to ensure both the RB/RSP renewal and PC application forms are returned before the 31 October deadline.
If you are unable to return a completed RB renewal form we may revoke the firm's recognition under regulation 9.1(c) of the SRA Recognised Bodies Regulations 2009. Trading without recognition would put all managers and any other solicitors and RELs in the firm in breach of rule 12 of the Solicitors' Code of Conduct and, if you are providing reserved legal services this would also put the firm in breach of the law. If you are a recognised sole practitioner and you continue to trade without renewing your RSP authorisation you will be in breach of rule 12.
If you are unable to return a completed application to renew the firm's PCs and/or registrations, we may terminate the solicitors' PCs, and RELs' and RFLs' registrations under regulation 9.2(a)(ii) of the SRA Practising Regulation 2009.
Can I return my application by email or fax?
We will accept your application by email or fax provided that you return the relevant fee together with your application form please send a copy of your credit/debit card authorisation or confirmation of direct payment from your bank. Please refer to the information on ways to pay. Applications should be emailed to financeincome@lawsociety.org.uk or faxed to +44 (0)1527 519150.
If the SRA has not finalised our/my application by 1 November, will recognition or authorisation be back dated?
Provided that we have received a correctly completed RB/RSP renewal application form together with the relevant fee before the 31 October deadline, your recognition or authorisation can be granted from 1 November 2009.
Payment
How can I pay?
Please refer to the information on ways to pay.
Can I send one payment that covers both applications?
Yes, however you must then return both application forms together. If you are unable to do this, then please send separate payments with each application.
Will the PC fee be reduced because we also have to pay a RB/RSP renewal fee?
The PC fee for 2009/2010 will be £1,180. The increase is driven by external pressures, for instance the set-up costs and overheads at the Office for Legal Complaints (OLC) and the Legal Services Board (LSB), as well as the likely fall in the number of PC holders. The fee for renewal of recognition is an administrative charge to cover the cost of the process. The cost is £180 for recognised bodies and £90 for sole practitioners.
We are currently consulting on a fairer fee policy which we hope to introduce in 2010. This is likely to result in a reduction in the amount of the PC fee and an increase in the firm renewal fee to reflect our firm-based approach to regulation.
I am a sole practitioner, why do I have to pay an extra £90 for my practising certificate?
To comply with the Legal Services Act 2007 the SRA has introduced firm-based regulation for all firms this means that sole principals must be recognised sole practitioners and the authorisation must be renewed annually. This process entails additional work in the renewal exercise in relation to sole practitioners and the additional part of the PC fee (£90) for renewing your authorisation to practise as a sole practitioner (which will be shown on your new PC) reflects this.
Are there any reductions in the PC fee or the RB/RSP renewal fee?
Because the fee for renewal of recognition/authorisation is an administrative charge and is set at a level to cover the cost of the renewal process in 2009, a reduction in the fee is not available.
The practising certificate/registration fee for 2009/2010 is £1,180. If your earnings from providing legal services in the 2008/2009 practising year were less than £20,000, you may qualify for a low income fee reduction on your practising certificate or registration. You may also qualify for a maternity leave fee reduction.
Can I pay in instalments or by direct debit?
The SRA does not have a facility for fees to be paid in instalments or by direct debit and the full fee for all renewal applications must be returned with the completed application forms. The Law Society has organised a finance facility to spread the payment of practising certificates and other associated SRA fees over a ten-month period. You can find more information on the Law Society website.
Is VAT payable on this application?
No. VAT is not applied to regulatory applications.
Will I get a receipt for my application?
We do not issue receipts for application forms or cheques. If you need a receipt for payment of the fee for your application, please email applicationreceipts@lawsociety.org.uk asking for a receipt and include your name, SRA reference number and details of the application that you have made.
Process
We need to disclose character and suitability issues in our application will this delay renewal and, if so, will we still be covered during this period?
If you disclose a character and suitability issue in either your practising certificate/registration renewal application or in your RB or RSP renewal application, we may need to consider the application in more detail. However, provided that we have received your correctly completed application forms, together with the relevant fees, before the 31 October deadline, your practising certificate/registration and your recognition/authorisation will remain valid until we are able to finalise your applications.
Can the SRA impose conditions on renewal?
On renewal, where it is appropriate, we can impose conditions on a practising certificate, an REL's or RFL's registration or on a recognised body's recognition. However, you can appeal against the imposition of a condition within 28 days of our notifying you of the reasons for our decision.
Will I receive a recognition certificate as well as our PCs and, if so, when?
Our aim is to process 95 per cent of all complete applications within 30 days of receipt. Where applications are granted, firms will receive a recognition certificate and sole practitioners will receive their PC or REL registration certificate with the RSP authorisation shown on it. Your certificates, including PCs and registrations, will be sent out separately.
What do I/we have to do if the firm is closing?
If your firm will continue to practise after 31 October, even if only for a limited period, you must renew your annual recognition/authorisation. If you close your firm by 31 October you will not need to apply for renewal you can notify us of the details of the closure by returning the RB/RSP renewal form (without the fee) or you can telephone our Contact Centre on 0870 606 2555. There is no provision for a refund of the fee for recognition/authorisation if you have practised through the firm after 31 October.
If you will continue to practise as a solicitor/REL even though you've closed your firm you will need to return your form to renew your PC or registration by 31 October. If you are not sure whether you need a PC/registration please contact Professional Ethics for advice on 0870 606 2577.