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Education and Training Committee work plan 2008–2010

Introduction

1. The Education and Training Committee work plan provides an outline of the work the Solicitors Regulation Authority (SRA) is undertaking on the education, training and development of Solicitors. The strategic context for this work is set out in the following documents:

2. The SRA Board agreed a set of strategic objectives, which set out how the organisation would achieve its core purpose, "to set, promote and secure in the public interest standards of behaviour and professional performance necessary to ensure that clients receive a good service and that the rule of law is upheld". Central to the delivery of this purpose is the setting of appropriate standards, which provide an effective framework for the delivery of legal services.

3. The following key objectives and strategic outcomes, defined in the SRA's strategy, are especially relevant to education, training and development:

  • We will set standards for entry to the profession, professional behaviours and continuing professional development so as to maintain and enhance the competence, performance and ethical conduct of solicitors and uphold the rule of law.
  • We will take steps to secure that those joining the profession:
    • come from a wide range of backgrounds and experience
    • meet appropriate standards of character, intellect, knowledge and skills
    • are able to sustain client confidence
    • undertake, and are able to sustain, commitment to the rule of law
    • can demonstrably uphold the principles governing those providing legal services of independence, integrity, the duty to act in the best interests of clients, and client confidentiality
  • We will require all members of the profession to maintain up-to-date knowledge and experience of:
    • changes in the law in their field of practice
    • professional requirements and ethical conduct
    • where relevant, the requirements of successful business practice and customer care
  • We will put in place arrangements to enable the profession to develop improved skills and knowledge and to encourage organisations to improve the infrastructure which underpins quality.

4. In order to put these objectives into effect, the SRA has published its strategy for the education, training and development of solicitors. That document sets out an holistic policy for the pre- and post-qualification development of solicitors, which will take into account their different expectations and responsibilities at different points in their careers.

5. This work plan sets out how we will deliver that holistic policy with a deliberate focus on the individual solicitor. It also dovetails with the work the SRA is undertaking to implement important aspects of the Legal Services Act, such as firm-based regulation.

6. All the streams of work set out in this paper will be managed and overseen by the SRA Education and Training Committee, with key strategic decisions being made by the SRA Board.

7. There are four key work streams, which are set out in the paper:

  • Pre-qualification reform programme
  • Qualified Lawyers Transfer Arrangements
  • Post-qualification quality assurance
  • Underpinning quality assurance of training and assessment

Pre-qualification reform programme

8. The pre-qualification reform programme is guided by the need to ensure that the Day One Outcomes are met by the time of admission; protecting the public interest through rigour and consistency, while being flexible and proportionate in order to facilitate access to the profession.

9. From the perspective of regulatory objectives and Day One Outcomes, the academic stage has not been seen as a priority for early change. The Joint Academic Stage Board (JASB) is operated jointly by the SRA and the Bar Standards Board (BSB) on a rotational basis. The administration of the JASB is due to switch to the BSB in August 2008. During the second half of 2008, a review will be undertaken to ensure that the terms of reference and membership of JASB are fully aligned to the SRA's and BSB's objectives. In late 2008, consideration will commmence on whether a joint review of the content of the academic stage should be undertaken and, if so, to what timescales.

10. One of the key elements of the qualification requirements is ensuring the character and suitability of those entering the profession. The SRA undertakes character and suitability checks at key points within the admission processes. For those qualifying under the home route, these checks are currently made prior to starting the LPC on a self-declaration basis—followed by a Criminal Record Bureau (CRB) check at the point of admission. For those qualifying through the Qualified Lawyers Transfer Regulations, we seek certificates of good standing from the applicant's home jurisdiction—followed by CRB checks at the point of admission. We anticipate reviewing the effectiveness of these mechanisms in 2008 and 2009, and consulting on any proposed changes.

11. In relation to the Legal Practice Course (LPC), the plan focuses on implementation. In January 2008, the SRA published its Information Pack for Providers (PDF 381K), which sets out the new course outcomes and requirements all providers will be expected to meet by 2010. The new outcomes offer increasing flexibility to providers over how the course is delivered, including the ability to deliver the course in stages. Providers have the option to be validated to deliver the course from 2009. Quality assurance arrangements for the LPC will build on existing external examining arrangements to show consistency of standards across providers.

12. A work-based learning pilot is now scheduled for September 2008, following two consultations in late 2006 and early 2007. The two key drivers for change in this area remain: the need for a more rigorous and consistent approach to assessment against agreed outcomes, and a concern to ensure that aspiring solicitors are able to qualify and not prevented from doing so through a lack of training places. The focus throughout 2007 and early 2008 has been on developing the standards against which firms and providers can develop assessment mechanisms, subject to inspection and validation by the SRA. On that basis, and given the need for evaluation of the pilots, we envisage full implementation of the new system no earlier than September 2011.

13. We are planning to pilot a centralised system for assessing trainees in professional responsibilities in September 2009. This will be linked to the work-based learning pilot.

Qualified Lawyers Transfer Arrangements

14. Two pieces of work are relevant to the Qualified Lawyers Transfer Regulations (QLTR).

15. First, interim guidance changes have been agreed, designed to align our decision more closely with the 1990 regulations and to ensure all solicitors who wish to practice have experience of the law of England and Wales to equip them properly.

16. Second, a fundamental review is being undertaken to define the nature of the transfer regime going forward. It will include consideration of qualifying jurisdictions, and the nature of assessment and experience requirements for entrants by this route, as well as comparability with the Day One Outcomes. Given the complexities, and the probable need for revisions to the 1990 regulations, this will be a long term exercise with full implementation of any changes being unlikely before 2010.

Post-qualification quality assurance

17. The education and training strategy highlights that education and training policies, standards, and regulations should be informed by the outcomes we are seeking to achieve—i.e. the minimum standards of knowledge, skills, business acumen and competence required at salient points in a solicitor's career. We have already developed outcomes which show the key knowledge, skills and behaviours required from solicitors at the point of qualification—the Day One Outcomes. We now need to develop an appropriate quality assurance framework for all aspects of the delivery of legal services by a solicitor or through a solicitor's firm. Central to this will be the definition of those requirements that attach to the individual solicitor and those that attach to the firm. The latter will be delivered via the firm-based regulation project.

18. The initial phase of work will involve the development of a detailed quality assurance strategy, which integrates each of the projects set out below. We anticipate publishing this strategy in autumn 2008.

Legal Services–Assuring Quality (aka What is a Solicitor?)

19. One key aspect of the quality assurance strategy will be to determine where there is a need for specific character, intellect, skills and knowledge requirements for solicitors and the functions of delivering legal services. The following career stages have been provisionally identified for further consideration:

  • completion of the academic stage/commencement of the LPC
  • completion of the LPC/commencement of work-based learning
  • point of admission
  • sustaining knowledge and skills throughout a solicitor's career
  • achieving competence in specialist areas of practice
  • setting up practice on one's own account or setting up a new practice with others
  • supervisory status in an accredited training establishment
  • head of legal practice/head of finance and administration in an existing firm

20. Working through a process of consultation and workshops with key stakeholders, including consumer and client groups, we anticipate mapping all the regulatory tools available to us, including considering the appropriateness of using tools such as peer review, and identifying which are relevant for each stage. Given the work already done on defining Day One Outcomes at the point of qualification, the Legal Services–Assuring Quality project will focus mainly on post-admission.

21. One of the key tools available to us for quality assurance purposes is accreditation. A consultation setting out proposed principles for a review of the SRA's accreditation schemes has been completed. The Committee has yet to formalise its policy position on accreditation, other than agreeing that it remains a key tool for a regulator to use as part of its quality assurance arrangements. We anticipate that reviewing each scheme and their underpinning standards will take at least one year and any detailed changes are unlikely until 2009. We can, however, say it is likely accreditation will be integral to the SRA's quality assurance strategy.

22. Following consultation, the SRA Board has decided to recommend to the Ministry of Justice (MoJ) that solicitors wishing to exercise their rights of audience before the higher courts should no longer be required to secure a higher rights qualification before doing so, and that accreditation against agreed standards should be voluntary. This will require the repeal of the relevant regulations—and possible amendments to the Solicitors Code of Conduct. This includes the Schedule 4 process requiring approval of the Ministry of Justice and, through the Ministry, consultation with the judiciary. Subject to consultation on the detail of the scheme, and passage through the Schedule 4 procedure, we anticipate the start date for the new assessment-based scheme to be January 2009.

23. There is a widely held view that continuing professional development (CPD) is in need of reform—perhaps to shift its emphasis away from time-based inputs to one which focuses on outcomes in line with training needs. Given its importance as one of our current tools to help ensure solicitors remain up-to-date, we will look ways of improving and focusing CPD as part of the Legal Services—Assuring Quality project.

24. The proposed quality assurance scheme for advocates undertaking publicly funded work in the higher courts is an MoJ and Legal Services Commission (LSC) initiative, to which the SRA has contributed. The SRA Board has signed up to a Statement of Collaborative Working with the LSC, MoJ and BSB in order to facilitate the scheme, which fully aligns with SRA work—such as higher rights accreditation. Piloting of the process, for criminal advocates, is expected in 2008 .

Underpinning quality assurance of training and assessment

25. We are undertaking substantial and continuing quality assurance activity to support the education and training function. This activity forms part of the delivery of each of the projects identified above; changes to quality assurance processes will be carried out within the timescales already mentioned. On an ongoing basis we will maintain the following quality assurance responsibilities:

  • validating and quality assuring course provision, e.g. Legal Practice Course, Graduate Diploma in Law, Qualifying Law Degree
  • monitoring of authorised training contract firms
  • monitoring of CPD, PSC and testing provision

26. A review of the current training contract arrangements, within existing regulations, is underway to ensure they are effective. This is because it is likely to take four years for the new work-based learning arrangements to be introduced. In particular, we propose to review guidance on what is expected of training in firms and to improve and increase our capacity to inspect training contract providers. Subject to stakeholder consultation, in autumn 2008, we anticipate updated guidance and inspection arrangements will be in place in early 2009.

27. We have designed a common framework to help ensure quality and consistency is maintained between providers of assessment schemes in such areas as Qualified Lawyer Transfer Test (QLTT), higher rights and accreditation generally. We are proposing that, subject to the Committee's approval, steps are taken this autumn to engage with providers, with a view to the common framework's phased introduction. This will underpin work on the accreditation schemes.

Way forward

28. We will update this work plan twice a year to ensure that this document accurately reflects an explanation of the Committee's high level activities. The Committee will continue to respond flexibly to the issues being raised and may consider matters beyond this document—but within their terms of reference, which are available on this website.

29. The SRA is committed to operating transparently and will ensure there is appropriate engagement with stakeholders and consultation throughout each of these areas. We will carry out initial and full impact assessments as appropriate.

30. We welcome your comments on this work plan and any areas of our work, and would ask you to send these by email, or by post to: Education and Training Unit, Solicitors Regulation Authority, Ipsley Court, Berrington Close Redditch B98 0TD.

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