The Legal Practice Course - proposals for changes EXECUTIVE SUMMARY

Transcription

1 Public Item 4 SRA BOARD CLASSIFICATION PUBLIC The Legal Practice Course - proposals for changes EXECUTIVE SUMMARY Summary 1. The Education and Training Committee, with the assistance of a working party, has been developing improvements to the Legal Practice Course (LPC) to align it with the Day One Outcomes and to provide increased flexibility to students and course providers. 2. This paper provides a progress report and asks the Board to make decisions on a number of reforms to the Legal Practice Course (LPC) including the implementation of revised LPC outcomes and underpinning assessment regime and structural reforms to the course. Recommendations 3. The Board is invited to: approve the revised LPC content and outcomes in near final form at annex 1, and invite the LPC working party and the ETC to complete the associated assessment strategy along the lines indicated at annex 3, and authorise the ETC to finalise the arrangements; approve the permissive disengagement of the electives in accordance with option 2 (paragraph 19); agree that work should continue on compiling a list of recognised qualifications that would relieve students from an LPC attendance requirement but would still require students to pass relevant LPC assessments; agree that LPC providers who wish to seek authorisation and validation for their revised LPC courses and/or disengaged electives to run from 2009 should be able to do so, and that all providers must be authorised against the revised LPC content and outcomes by 2010; agree that further development of the authorisation, validation and monitoring processes for the new LPC and disengagement of the electives should be remitted to the QASC and overseen by the ETC; agree that in principle there should be a currency requirement for the LPC beyond which a student would need to retake the examinations and that the Page 1 of 46

2 SRA BOARD regulatory changes to implement a currency requirement will be deferred to coincide with an updating exercise on the Training Regulations; agree that the ETC will have final sign off of the information pack for LPC providers no later than its meeting on 17 December for publication in early January The information pack will contain: the revised LPC content, outcomes and assessment strategy; the revised LPC authorisation, validation and monitoring process (including for the disengagement of the electives). Annexes Annex 2 Annex 3 Annex 4 Annex 5 Revised LPC content and outcomes - near final draft Explanatory commentary on the revised LPC content and outcomes Contained in the confidential papers: - LPC draft assessment requirements Contained in the confidential papers: - ETC discussion paper Implementation timetable for LPC Author Clare Gilligan Date 17 August 2007 This paper is for policy decision Page 2 of 46

3 SRA BOARD The Legal Practice Course - proposals for changes Introduction 1. In May 2006 a framework for the authorisation, validation, delivery and assessment of the Legal Practice Course (LPC) was published which set out those aspects of the Training Framework Review relating to the LPC which should be taken forward. In the sixteen months since publication significant work has been undertaken to progress key aspects of the framework to ensure that its structure, content, assessment and assurance of the provision meet today s needs. 2. The proposed overhaul of the LPC set out in this paper seeks to ensure the right balance of mandatory content for a single profession whilst providing scope to LPC providers to vary the emphasis of their course to meet the needs of their own stakeholder markets; that standards are met robustly for example through consistency of assessment outcomes rather than parity of content and student experience; and, offers choice and diversity of LPC provision to promote wider access. 3. This paper provides an update and seeks decisions on: revised LPC outcomes and assessment strategy to align the qualification with the Day One Outcomes; structural changes to the LPC - namely the disengagement of electives and exemptions from part or parts of the LPC; implementation of the proposals; shelf life of the LPC qualification. LPC outcomes and assessment strategy 4. An LPC working party was set up in March 2006 with a remit that included the revision of the LPC written standards and the underpinning learning and assessment strategies. By September 2007 the group will have met 7 times and has completed work on revised LPC outcomes which are attached in near final form at annex 1 together with a commentary explaining the changes and their purpose (annex 2). The proposed LPC content and outcomes are not significantly different from the present written standards in that the mandatory content is similar. However, the material has been radically reordered, simplified and clarified to ensure coherence. Conduct and ethics are emphasised in the objectives of the course as well as the course content; conduct issues will be introduced early in the course and then dealt with in context (e.g. within Business Law and Practice) as well as learning about them at the level of principle. There is also explicit scope for Page 3 of 46

4 SRA BOARD individual providers to choose their own emphases to reflect the needs of their students. 5. The revised LPC outcomes include notional learning hours which set out the required balance between different elements of the course. There is greater flexibility than at present for providers to design courses which meet their students and their future employers needs. For example, within the notional hours it will be possible for courses to focus on litigation and advocacy so long as the required minimum is met. It is expected that over time there will be a greater degree of diversification in the way courses are delivered which, with the appropriate information to prospective students, will enable the courses to meet student requirements more fully. 6. The LPC working party is currently developing LPC assessment requirements and the current draft is attached at annex 3 (contained within the Board s confidential papers). 7. The current draft of the assessment requirements sets out what providers must produce, for example a comprehensive learning, teaching and assessment strategy to demonstrate overall coverage of the LPC outcomes. The draft requirements include proposals: to discontinue the award of distinctions and commendations so that in future transcripts of marks would be provided; to retain the undifferentiated pass/fail for skills assessments; and for the retention of a separate exams for Professional Conduct and Regulation as well as solicitor s accounts. 8. The final direction that the assessment requirements will take is dependent on whether or not the Board agrees the permissive approach to the disengagement of electives outlined at paragraph 19. The work on the assessment strategy will therefore be completed after the Board meeting at or after the seventh meeting of the LPC Working Party and will be included in the information pack for LPC providers. Structure of the LPC - disengagement of the electives and exemptions 9. A consultation exercise was undertaken between 23 February 2007 and 21 May 2007 on the structure of the LPC. Following the consultation period, further feedback was sought through the LPC providers conference and the LPC Directors forum. The consultation sought views on four topics, the first two of which are the subject of this paper. Disengagement of the electives Granting of exemptions from part or parts of the LPC by the SRA The SRA s regulatory role Page 4 of 46

5 SRA BOARD The information that should be available to potential students. 10. The Education and Training Committee has considered a draft consultation response report and the views of the LPC providers via a variety of forums. The Committee has made a number of recommendations on disengagement and exemptions. These are highlighted in this paper. 11. The consultation response report requires finalisation and the Education and Training Committee will be presented with the final report at their September meeting to sign off for publication. Disengagement of the electives - rationale 12. The present LPC course is delivered in a single block with a broad structure of compulsory subjects, elective subjects and pervasive subjects. The proposal to disengage the electives was published following the Training Framework Review, in the May 2006 framework for authorisation, validation, delivery and assessment of the LPC. In essence, disengagement of the electives would allow students to study the electives immediately after the compulsory phase of the LPC; during the training contract or period of work based learning (WBL); or at the end of the training contract or WBL period. 13. The rationale for the disengagement of the electives is to promote greater flexibility for LPC providers in the way they design and deliver their courses, and corresponding choice to students who study upon such courses. There would be the potential for students to study at one provider for the compulsory subjects and at the same or a different provider for their electives, enabling them to spread their study (and associated costs) over a longer period of time than is currently allowed and different forms of flexibility from the current part time options. There would also be the option to study at one provider for the compulsory subjects and at one or more different providers for their electives. 14. Some students and training establishments will wish to take up the educational benefits of trainee solicitors studying one or more of their electives immediately before embarking on the relevant seat or work based learning. Some firms have expressed an interest in being authorised to deliver electives tailored to their firm s work and clients. 15. It is proposed that disengagement of the electives should be voluntary, subject to the appropriate authorisation, validation and monitoring procedure and that provider authorisation will be open to providers of electives only, some of whom may be very specialised. It will remain open for LPC providers to deliver the whole course in one block as in the present structure. Disengagement of the electives - consultation response Page 5 of 46

6 SRA BOARD 16. The proposals were consulted on earlier this year and whilst there was majority agreement in the consultation that students should have the opportunity to study the electives separately there have been strong representations from a number of LPC providers against the proposal. 17. The primary concerns raised through the consultation process were that: there would be a lack of developmental and consolidation opportunities if the electives are disengaged - i.e. no exit velocity ; the LPC should be seen as a coherent programme; that students who have not completed the electives will be at a disadvantage in the recruitment market and this cohort may include those already most disadvantaged because of their financial position; a two-tier system might develop to the detriment of those not completing the course as a single block; pervasive and skills assessments would no longer be able to be spread throughout the compulsory and elective parts of the course, which may increase the assessment burden; it may increase costs for students; standards may decrease and the LPC may fall into disrepute; there may be issues of consistency. 18. In considering the consultation response, the ETC concluded that the objections raised did not outweigh the advantages to students and to firms, and that further work could be done in the authorisation and validation stage to minimise or eliminate the concerns and to ensure the robustness of the LPC. It therefore discussed the options in relation to the principle of disengagement as set out below. Disengagement of the electives - options 19. The Education and Training Committee considered three potential options set out in more detail at paragraph 11 of the confidential annex 4: Option 1: Permit disengagement of the electives as described in the rationale set out above. This would require us to implement a newly defined LPC which covers the compulsory and pervasive areas only. The three elective subjects would remain mandatory via Training Regulations (3)(iii) as a prescribed course but need not be taken immediately following the compulsory subjects nor at the same institutions. Option 2: Permit disengagement of the electives (whether delivered as single electives or as one block) but retain them as part of the LPC qualification, thus making the LPC a two-part qualification, with the core as described in the learning outcomes in annex 1 as part 1 and with the electives as part 2. Page 6 of 46

7 SRA BOARD Option 3: Do not disengage the electives. Instead, enhance existing options for students to defer or transfer their studies to another provider without the approval of the SRA (as is currently necessary). 20. The advantages and disadvantages are summarised below: Option 1 would meet all the elements of the rationale set out at paragraph 13. However the potential disadvantages are that it may be administratively burdensome to both the LPC providers and for the SRA, and that firms and other potential employers may not appreciate that the electives remain mandatory albeit no longer part of the LPC. There would also be a risk that students may attempt to take insufficiently different elective subjects in order to game the system. Additionally learning consolidation opportunities may be limited. Option 2 provides the same flexibility for students and for LPC providers in course design terms as well as coherence as a course, while retaining the important signal that part 1 and part 2 continue to comprise a coherent vocational whole. Option 3 provides further flexibility for students within the bounds of current LPC course delivery. It does not, however, provide the degree of flexibility highlighted as the rationale for the proposal, and does not address issues such as how students are able to manage their studies around their work based learning. It would in particular require students to seek flexibility from the provider which providers may be reluctant to offer given the commercial context in which they operate. Disengagement of the Electives - recommendations and further work 21. The clear, but not unanimous, recommendation from the Education and Training Committee was that option 2 (namely the two-part LPC qualification) should be adopted subject to satisfactory resolution of the outstanding practical issues. 22. It should be noted that some members of the Education and Training Committee were in favour of option 3 - namely the enhancement of existing options for students to defer and/or transfer their studies without SRA approval. The Board should note that it may be against a provider s commercial interest to encourage students to, for example, transfer their studies to another provider. In order for option 3 to work the SRA would have to be confident that all providers would be actively involved in promoting the deferral and transfer procedures for their students. 23. In addition to finalising the LPC outcomes and assessment strategy, the issues requiring resolution by the Education and Training Committee prior to the publication of the information pack are: Page 7 of 46

8 SRA BOARD creation of a robust authorisation, validation and monitoring process for the revised LPC - including arrangements for disengaged electives (to be developed in QASC); creation of generic outcomes for part 2 of the two part qualification or the electives; establishment of SRA processes to manage the integrity of the qualification for example ensuring that students cannot take the same or similar elective more than once at different providers; whether, and if so in what circumstances, time spent studying for disengaged electives during a training contract should count towards the minimum 2 year duration of a training contract (for as long as such requirements remain); whether assessments in integrated LPC courses ( i.e. ones in which the electives and the compulsory core are delivered as a single continuous course) should be allowed to occur at any time (including, e.g. skills assessments during or after the electives), or whether all assessments connected with the compulsory core (subjects and skills) must be completed before electives are undertaken, whether disengaged or not; the arrangements for resits, especially connected to the compulsory core, where the electives are disengaged; consideration of the name to be given to the qualification (other than LPC part 1 and LPC part 2) and the establishment of a new award process by providers taking into account the disengagement of electives; consideration of the information to be provided to students and other interested stakeholders on the new regime on a continuing basis; consideration of the practical interdependencies with the work based learning pilot. 24. Each of these issues will be considered by the ETC and, where relevant the QASC. Exemptions - rationale 25. The LPC is currently a mandatory course and no exemptions are permitted. The provision of exemptions would provide flexibility to students, especially those following a non-traditional route to qualification. 26. The consultation exercise highlighted earlier in this paper proposed that individual students should be able to apply to the SRA for exemption from part or parts of the LPC and that these would be granted on an individual basis. Exemptions would only be granted to students who had passed examinations/assessments covering learning outcomes equivalent to the part(s) of the LPC from which exemption was sought. It was suggested that providers would not be obliged to accept students who had been granted exemptions, although the SRA will expect them to structure courses to enable students with exemptions to be accommodated. Page 8 of 46

9 SRA BOARD 27. Provision of exemptions will give flexibility to students, especially those who are following a non-traditional route to qualification. Such students would not be required to spend time and money studying a subject for the LPC if they had already secured the necessary training outcomes in another route. There would be a further financial benefit to students if providers charged fees according to the subjects studied. Students who obtain qualification(s) that gain LPC exemption would be able to enjoy a decreased assessment burden when completing the LPC. 28. The range of potential exempting qualifications is not clear, and work is continuing to determine the qualifications that might qualify for exemption as well as how the process might work. Exemptions - consultation response 29. The views expressed in relation to exemptions was mixed in that although a large number of LPC providers agreed that exemptions could in principle be granted, they qualified this by saying that agreement was subject either to exemption being on the basis of qualification and not experience and also subject to assurances that there will be equivalence of rigour in deciding which exemptions could be granted. Overall a majority of firms were against allowing exemptions but other respondents to the consultation were evenly split. 30. A number of practical issues were raised by consultation respondents including: concern about student cohesion, student networking and the learning and teaching experience; concerns that the current pervasive nature of the skills and professional conduct could be lost; difficulties in awarding commendations and distinctions; risk that the LPC could become modularised. Exemptions - ETC options 31. The Education and Training Committee considered three options in relation to taking forward the proposal for the SRA to grant exemptions from part or parts of the LPC, namely: go ahead with the proposal as currently articulated and implement the proposal at the same time as disengaging the electives (if that proposal is implemented); go ahead with the proposal but at a much slower pace, in order to allow more work to be undertaken in relation to cost for the SRA and the range of potential exempting qualifications; agree that the proposal should not be implemented. Page 9 of 46

10 SRA BOARD 32. The ETC discussed the consultation responses and the implications for SRA processes. In particular they noted that for the first two options there were significant resources required to set up robust exemption processes that may outweigh the benefits of flexibility; they agreed with the concern that exemptions may harm pervasive skills teaching. ETC commented on the need to look at the issue of exemptions in the light of current work on the QLTR review and the operation of the Morgenbesser principles. Finally, ETC discussed a suggestion for allowing exemptions from study but requiring assessment in all areas. Exemptions - Recommendations and further work 33. The Committee recommended that on balance the proposal for exemptions as currently drafted should not be proceeded with but that further work should be undertaken to develop a scheme where exemptions from attendance at elements of the LPC course are allowed against a list of acceptable qualifications. Students would continue to be required to pass the relevant LPC assessments. 34. Subject to Board agreement to this approach, further work on a scheme will be developed and revised proposals will be considered by ETC including a proposed timescale for implementation. Authorisation, validation and monitoring 35. The key area of work which remains to be undertaken to facilitate the implementation of the new LPC outcomes and the flexibilities highlighted in this paper is the authorisation, validation and monitoring process. The SRA envisages authorising LPC providers and validating their courses. 36. As highlighted above this work will be overseen by QASC, with input from the LPC working party and will resolve issues such as authorising providers and validating courses; ensuring rigour in the authorisation, validation process; ensuring the operational delivery of the authorisation and validation timetable; ensuring effective monitoring processes of both parts of the course; and the development of clear rules and guidance on the process for LPC providers and the SRA to follow. 37. This work will need to be completed no later than the end of November 2007 in order to be signed off by the ETC in preparation for its inclusion in the Information pack. Implementation 38. The proposed timescale for implementation set out in the consultation paper earlier this year was for the revised LPC to be in place from September The ETC considered the timescales in July 2006 and decided that a September 2008 Page 10 of 46

11 SRA BOARD timetable was not viable. The working assumption for implementation has therefore been The Board is asked to consider the implementation timetable for the revised LPC content, outcomes and assessment strategy as well as the disengagement of electives. 40. The ETC considered the options around timing including the concern raised through the consultation exercise that timing of the authorisation and validation process would not allow sufficient lead time for the publication of prospectuses and course materials for 2009 for all providers. Other concerns were raised over the viability of developing new courses in time for a 2009 implementation date. It was recognised that some LPC providers are likely to wish to go ahead with the proposed changes, both in terms of flexibilities and revised outcomes, at the earliest opportunity. The Committee has therefore recommended that a twin-track approach should be considered, with all LPC providers being authorised against the new content, outcomes and assessment strategy, plus the availability of the disengagement of electives by 2010, with the opportunity for earlier implementation in 2009 for those providers wishing to work to this timetable. 41. This paper has highlighted elsewhere the work that will be required to be undertaken by the SRA prior to publication of the final scheme. It is set out below in key activity terms. Annex 5 sets out the draft timescale visually. It is clear that from an SRA point of view that there are only minor differences in the timetabling implications for each of the two timelines. Central to delivering for both 2009 and 2010 is the need for publication of the information pack at the earliest opportunity in order to enable LPC providers to commence their development work. Whilst the deadline for full publication of all elements of the information pack is January, it is intended, where specific information can be put into the public domain at an earlier date, that this is done. It is therefore anticipated that the LPC content, outcomes and assessment strategy can be provided to LPC providers in late November Draft timetable Activity 2009 timeline 2010 timeline Completed by Completed by Sign off by SRA Board of key decisions Sept 2007 Sept 2007 Finalise information pack (releasing info such as content and outcomes early if possible) Dec 2007 Dec 2007 Content, outcomes, assessment strategy Authorisation, validation and monitoring guidelines ETC sign off for Publication Jan 2008 Jan 2008 Train authorising assessors Apr 2008 Jan 2009 Expressions of interest for 2009 implementation Apr 2008 Not required Receive application paperwork from providers Aug 2008 Apr 2009 Page 11 of 46

12 SRA BOARD Provider authorisation and course validation process Sept 2008 to Jan 2009 May 2009 to Sept 2009 Validation results released Feb 2009 Oct 2009 Delivery Sept 2009 Sept 2010 Currency of the new qualification 42. The current LPC does not have a shelf life or a valid currency. The previous qualification, the Law Society Final Examination, had a currency of seven years, as does the current academic stage. The rationale for having a currency requirement is to ensure that the knowledge that students gain on a course remains sufficiently up to date by the time they qualify. 43. The current LPC contains a substantial amount of legal knowledge and the new LPC content will continue to have similar legal knowledge requirements. It is therefore proposed that in principle there should be a currency requirement. 44. To implement this proposal a change to the Training Regulations would be required. The other changes outlined in this paper can be implemented without requiring changes to the Training Regulations. It is therefore suggested that detailed proposals on the options for duration of the qualification are deferred until such time as wider changes to the Training Regulations are required. A paper will be prepared for the Board in early 2008 setting out a plan and timetable for a detailed review of the Training Regulations in order to support the ETC work plan. Recommendations 45. The Board is invited to: approve the revised LPC content and outcomes in near final form at annex 1, and invite the LPC working party and the ETC to complete the associated assessment strategy along the lines indicated at annex 3, and authorise the ETC to finalise the arrangements; approve the permissive disengagement of the electives in accordance with option 2 (paragraph 19); agree that work should continue on compiling a list of recognised qualifications that would relieve students from an LPC attendance requirement but would still require students to pass relevant LPC assessments; agree that LPC providers who wish to seek authorisation and validation for their revised LPC courses and/or disengaged electives to run from 2009 Page 12 of 46

13 SRA BOARD should be able to do so, and that all providers must be authorised against the revised LPC content and outcomes by 2010; agree that further development of the authorisation, validation and monitoring processes for the new LPC and disengagement of the electives should be remitted to the QASC and overseen by the ETC; agree that in principle there should be a currency requirement for the LPC beyond which a student would need to retake the examinations and that the regulatory changes to implement a currency requirement will be deferred to coincide with an updating exercise on the Training Regulations; agree that the ETC will have final sign off of the information pack for LPC providers no later than its meeting on 17 December for publication in early January The information pack will contain: the revised LPC content, outcomes and assessment strategy; the revised LPC authorisation, validation and monitoring process (including for the disengagement of the electives). Page 13 of 46

14 Draft LPC Outcomes 2007 TABLE OF CONTENTS Introduction 1 Aims of the course 1 LPC Outcomes 1 Part 1 Professional Conduct and Regulation 2 1. Professional conduct 2 2. The Profession 2 3. Money Laundering 2 4. Financial Services 2 5. Solicitors Accounts 3 Core Practice Areas 4 Business Law and Practice 5 Element 1: Business media 5 Element 2: On-going operations and common transactions 5 Element 3: Stakeholders 6 Element 4: Business accounts 6 Property Law and Practice 7 Element 1: Pre-contract stage 7 Element 2: Binding contract 7 Element 3: After the contract becomes binding 7 Litigation 9 Element 1: Case analysis 9 Element 2: Courses of action and funding 9 Element 3: Procedure 9 Element 4. Civil Litigation and Dispute Resolution 9 Element 5. Criminal Law and Practice 10 Wills and Administration of Estates 11 Element 1: Pre-grant practice 11 Element 2: Application for a grant of representation 11 Element 3: Post-grant practice 11 Taxation 12 Element 1: Income Tax 12 Element 2: Capital Gains Tax 12 Element 3: Inheritance Tax 12 Element 4: Corporation Tax 12 Element 5: VAT 12 Page 14 of 46

15 Course Skills 13 Practical Legal Research Element 1. Legal and factual issues 14 Element 2. Research 14 Element 3. Presentation of results 14 Writing 15 Element 1. Appropriate use of media 15 Element 2. Writing style 15 Element 3. Content 15 Drafting 16 Element 1. Drafting and amending documents 16 Element 2. Style of drafting and amending 16 Element 3. Explaining and editing 16 Interviewing and Advising 17 Element 1. Interviewing 17 Element 2. Advice and follow up 17 Advocacy 18 Element 1. Case analysis and preparation 18 Element 2. Oral presentations 18 Appendix 19 Preliminary knowledge 19 On completion of the course, students should have a sufficient grasp of tax law to enable them to understand the impact of taxation on the areas covered by the course. Part 2 Notional learning hours 20 Page 15 of 46

16 LEGAL PRACTICE COURSE LPC OUTCOMES 2007 Introduction This document sets out the outcomes for the Legal Practice Course (the course). On successful completion of the course a student will have reached a significant stage in the framework of their training towards becoming a solicitor. A Diplomate will have begun to develop many of the areas of knowledge, skills and understanding expected of a newly-qualified solicitor. Aims of the course The aims of the course are to: 1. prepare students for work-based learning; 2. provide a general foundation for practice; 3. prepare students to undertake the vocational electives. LPC Outcomes At the end of the course, a successful student should be able, under appropriate supervision, to: 1. research and apply knowledge of the law and legal practice accurately and effectively; identify the client's objectives and different means of achieving those objectives and be aware of: the financial, commercial and personal priorities and constraints to be taken into account; the costs, benefits and risks involved in transactions or courses of action; 2. perform the tasks required to advance transactions or matters; 3. understand where the rules of professional conduct may impact and be able to apply them in context; 4. demonstrate their knowledge, understanding and skills in the areas of: Professional Conduct and Regulation; the core practice areas of Business Law and Practice, Property Law and Practice, Litigation and the areas of wills and administration of estates and taxation; 5. the course skills of Practical Legal Research, Writing, Drafting, Interviewing and Advising, and Advocacy. Students should also be able to transfer skills learnt in one context to another; Page 16 of 46

17 6. reflect on their learning and identify their learning needs. Note: Before starting the LPC, students will be expected to have a basic level of Preliminary Knowledge and Skills. See Appendix. Page 17 of 46

18 Part 1 PROFESSIONAL CONDUCT AND REGULATION On completion of the course, students should be able to identify and act in accordance with the core duties of professional conduct and professional ethics which are relevant to the course. 1. Professional conduct By the end of the course, a successful student should be familiar with the Solicitors Code of Conduct affecting the conduct of work likely to be encountered by trainees including: 1. the core duties of solicitors under Practice Rule 1; 2. acting only when competent to do so; 3. principles and practices of good client relations, client care and information about cost; 4. conflicts of interests; 5. client confidentiality and disclosure; 6. professional undertakings; 7. the solicitor and the court; 8. avoiding discrimination and promoting equality and diversity. 2. The Profession By the end of the course, a successful student should understand the organisation, regulation and ethics of the profession and should be familiar with the impact of: the requirements of practice including practising certificates and indemnity insurance; in-house practice, including non-commercial advice services; business management of private practice, including the supervision of solicitors offices, sole principals, partnerships and incorporation; relations with third parties. 3. Money Laundering By the end of the course, a successful student should: Page 18 of 46

19 be familiar with the legislation, including the international context; be able to recognise circumstances encountered in the course of practice where suspicion of money laundering should be reported in accordance with the legislation, with particular reference to those types of legal work covered by the course. 4. Financial Services By the end of the course, a successful student should: understand the purpose and scope of financial services regulation; understand the financial services regulatory framework in general (including authorisation), and how it applies to solicitors firms; recognise when relevant financial services issues arise; be able to apply financial services provisions to the types of work covered by the course; be able to identify and find appropriate sources of information on financial services. 5. Solicitors Accounts By the end of the course, a successful student should have a basic understanding of the Solicitors Accounts Rules, including the: requirement to maintain separate office and client ledgers and bank accounts; obligations regarding payment into and drawings from client bank accounts; entitlement to make transfers between client bank accounts and ledgers and between client and office bank accounts and the need to record such transfers; obligation to pay interest to clients and the funding of such payments; requirements in respect of the holding of trust monies; powers of the Solicitors Regulation Authority to secure compliance with the Solicitors Accounts Rules; and should be able to: recognise, record and interpret receipts into and payments from office and client accounts; prepare a simple statement for clients on completion of a matter. CORE PRACTICE AREAS Page 19 of 46

20 On completion of the course, a successful student should be able to progress, under supervision, basic transactions or matters in each core practice area (Business Law and Practice, Property Law and Practice and Litigation) in a manner that uses the legal knowledge, skills, procedures and behaviours appropriate to each client and each transaction or matter. Students should be able, throughout every matter, to: 1. identify the client's goals and alternative means of achieving those goals, and deal appropriately with client care; 2. investigate and identify the relevant facts, research and identify the relevant legal issues, and advise the client on the legal consequences; 3. identify the overall nature of the transaction, then plan and progress that transaction through a series of steps and decisions including, where appropriate, drafting documentation; 4. recognise and act within the rules of professional conduct; 5. identify the client s reasonable expectations as to quality and timeliness of service. BUSINESS LAW AND PRACTICE On completion of this core practice area, students should: 1. understand the nature and structure of the different business media and be able to select an appropriate medium and structure to meet the client's commercial requirements and to advise on the legal and taxation implications; 2. be able to progress basic business transactions arising during the life and development of a business; 3. understand the interests of different parties involved in the business including directors, shareholders and creditors of a business. Students should also be able to: 4. interpret and apply primary source materials, constitutional documents and other relevant agreements; 5. identify conduct and regulation issues, such as conflicts of interests and FSMA, as they arise in the context of relevant transactions; 6. draft the relevant documentation and prepare the appropriate forms and filings. ELEMENT 1: Business media Page 20 of 46

21 Students should: 1. be able to advise the client as to the advantages and disadvantages of different business media including sole traders, partnership and companies; 2. be able to advise on form and legal structure and on the cost, procedures, formalities and taxation implications of setting up and running the business; 3. be familiar with the procedures required to incorporate a company and/or form a partnership and understand the approvals, filings and procedures to enable the business to commence operating; 4. be familiar with the roles, rights, responsibilities and liabilities of the participants; 5. understand the procedures to alter the constitution of a company and to appoint and remove the officers of a company; 6. understand how to allot, issue and transfer shares. ELEMENT 2: On-going operations and common transactions Students should be able to: 1. progress common business transactions and advise and take steps relating to the business s on-going operations; 2. advise on entering into contracts on behalf of the business (including issues arising from contracts in which directors have an interest); 3. advise on steps to protect the assets of the business; 4. advise on issues arising from basic finance and lending; 5. draft notices, agendas and minutes of meetings and complete and file routine statutory forms and maintain and up-date statutory books; 6. advise on taxation of profits (income and capital) generated and distributed by the business; 7. demonstrate an appreciation of the continuing duties, obligations and liabilities of the business and of its partners, directors and shareholders; 8. advise on the options for and claims arising on insolvency, e.g. bankruptcy, winding up and administration; 9. draft and review documentation to give effect to transactions. ELEMENT 3: Stakeholders Page 21 of 46

22 Students should: 1. understand the different interests of parties involved in the business including the company, directors, shareholders and creditors of the business; 2. be aware of potential conflicts between the different parties; 3. understand the importance of knowing the client. ELEMENT 4: Business accounts Students should understand the basic principles of business accounting and should be aware of the need to interpret business accounts to ensure clients are appropriately advised. In particular, students should: 1. understand the terms used and basic accounting concepts; 2. be familiar with how accounting data is used to prepare a profit and loss account and a balance sheet; 3. understand the construction of and be able to analyse and interpret a simple balance sheet and profit and loss account of a sole trader, partnership and limited company; 4. understand the nature of shareholders funds. PROPERTY LAW AND PRACTICE On completion of this core practice area, students should, in the context of domestic or commercial transactions or both, and in relation to freehold and leasehold property: appreciate the nature of a property transaction; 2. be able to identify and perform the critical steps in a transaction; 3. be aware of conflicts of interest that may arise when acting for more than one party in a property transaction; 4. understand the requirements of lenders and the need to consider money laundering issues; 5. have a sufficient grasp of the tax aspects of a property transaction, including Stamp Duty Land Tax. ELEMENT 1: Pre-contract stage Students should be able to: 1. take preliminary instructions and advise on client care; Page 22 of 46

23 2. identify the steps needed to raise and the issues arising from pre-contract enquiries and pre-contract searches; 3. deduce and investigate title as appropriate to the transaction; 4. report on the transaction to the client; 5. decide, with the client where appropriate, what action needs to be taken and identify what action (if any) the client has to take; 6. analyse and draft a contract (and constituent clauses). ELEMENT 2: Binding contract Students should understand when the contract becomes binding and should appreciate the need to: 1. advise the client on the terms of any offer of finance and ensure that adequate finance is available before committing the buyer to the contract; 2. select a method of making the contract binding appropriate to the transaction. ELEMENT 3: After the contract becomes binding Students should be able to: 1. deal appropriately with the deposit, obtaining undertakings and insurances; 2. prepare appropriate, clear and precise undertakings; 3. draft document(s) (whether paper-based or electronic) necessary to transfer the legal estate; 4. report on the title to the lender; 5. prepare the mortgage documentation; 6. prepare for completion and select a method appropriate to the transaction; 7. carry out the completion and the relevant post-completion steps; 8. complete the mortgage and protect the lender s security; 9. discharge any existing mortgage over the property. LITIGATION Page 23 of 46

24 On completion of this core practice area, students should: 1. understand the nature of civil and criminal litigation; 2. be able to identify the critical steps in the process of litigation. ELEMENT 1: Case analysis Students should be able to analyse factual material, identify the legal context in which factual issues arise, relate the central legal and factual issues to each other and be able to: 1. identify the elements of selected causes of action and criminal charges; 2. identify, analyse and, if necessary, research the propositions of fact going to the elements and be able to identify, analyse, secure and preserve evidence to support propositions of fact; 3. identify, analyse and advise on the admissibility and relevance of evidence and assess the strengths and weaknesses of each side s case including, where appropriate, the opponent s evidence. ELEMENT 2: Courses of action and funding Students should be able to: 1. identify possible courses of action, demonstrate an awareness of the legal and non-legal consequences of selecting a course of action and advise the client on the attendant costs, benefits and risks; 2. advise the client on the different ways of funding litigation, including the availability of public funding. ELEMENT 3: Procedure Students should be able to identify the steps and strategies that need to be taken in the preparation and conduct of litigation. ELEMENT 4: Civil Litigation and Dispute Resolution Students should be able to: 1. identify the appropriate forum for the resolution of the dispute, including appropriate methods of alternative dispute resolution; 2. identify possible cost consequences of different outcomes, the effect of the different costs rules and the impact of the likely costs orders on the conduct of litigation; Page 24 of 46

25 3. demonstrate an understanding of the Civil Procedure Rules, the overriding objective, and their application; 4. demonstrate an understanding of the court s role in the litigation process, in particular the court s case management powers and duties; 5. identify steps to be taken prior to commencement and be able to issue, serve and respond to claim forms; 6. advise on interim applications, prepare and conduct applications to the master or district judge; 7. understand the steps needed to prepare the case for trial and the procedure and evidential issues arising from expert witnesses, witnesses of fact and disclosure, and demonstrate an awareness of the basic elements of trial procedure; 8. demonstrate an awareness of the mechanisms which are available to enforce and appeal a judgment; 9. prepare the appropriate documentation and draft claim forms, particulars of claim, defences, application notices, orders and witness statements. ELEMENT 5: Criminal Law and Practice Students should be able to: 1. demonstrate an understanding of the Criminal Procedure Rules, their overriding objective, and their application; 2. demonstrate an understanding of the court s role in the litigation process, in particular the court s case management powers and duties; 3. demonstrate an awareness of police station representative accreditation schemes, and the court duty solicitor scheme; 4. explain the custody, review and detention limits under PACE and the role of the custody officer; 5. identify the steps involved in making an application for a representation order; 6. identify the steps involved in making or contesting a bail application; 7. identify the practical and tactical considerations involved in determining the mode of trial, including an awareness of the range of sentences available, and advise the client accordingly; 8. assist in the preparation and conduct of a summary trial, committal proceedings and a trial on indictment. Page 25 of 46

26 WILLS AND ADMINISTRATION OF ESTATES On completion of the course, students should have a general overview of the content, format and validity of wills, obtaining grants of representation and administration of an estate and should be familiar with the purpose and general structure of the relevant documents. ELEMENT 1: Pre-grant practice Students should understand: 1. validity, revocation and alteration of wills and codicils; 2. total and partial Intestacy; 3. identification of property passing by will, intestacy or outside of the estate; 4. valuation of assets and liabilities and the taxable estate. ELEMENT 2: Application for a grant of representation Students should understand: 1. the necessity for and main types of a grant; 2. powers and duties of personal representatives and their protection; 3. main types of oath for executors or administrators. ELEMENT 3: Post-grant Practice Students should understand: 1. collection and realisation of assets, and claims on the estate; 2. raising funds and the payment of inheritance tax and debts; 3. pecuniary legacies, vesting of gifted property in the beneficiaries entitled and distribution of the residuary estate. TAXATION On completion of the course, students should have a sufficient grasp of tax law to enable them to understand the impact of taxation on the areas covered by the course. ELEMENT 1: Income Tax On completion of the course, students should: Page 26 of 46

27 1. understand the main features of the income tax system including: total income; personal allowances; calculation of income tax liability; 2. understand the distinctions between taxation at source and direct assessment and the taxation of income from investments and interest; 3. appreciate the existence of anti-avoidance legislation such as the rules relating to gifts and settlements. ELEMENT 2: Capital Gains Tax On completion of the course, students should understand: 1. the main principles of capital gains tax, including: the charge on the disposal or deemed disposal of assets; and the calculation of chargeable gains; 2. the main exemptions and reliefs from capital gains tax. ELEMENT 3: Inheritance Tax On completion of the course, students should: 1. understand the principles relating to the charge to tax: on death; on immediately chargeable lifetime transfers; in relation to potentially exempt transfers; on gifts with the reservation of benefit; 2. be familiar with: payment of tax due; exemptions and reliefs; the principle of cumulation; valuation; accountability and burden; anti-avoidance provisions. ELEMENT 4: Corporation Tax On completion of the course, students should understand the principles relating to the charge to tax and charges on income. ELEMENT 5: VAT On completion of the course, students should understand the basic principles of VAT including: registration of taxable persons; taxable supplies; input and output tax; standard and zero rating; exemptions. Page 27 of 46

28 COURSE SKILLS On completion of the course, a successful student should have a basic competence in the course skills and be able to use them effectively under supervision and should: 1. demonstrate an understanding of the principles and criteria that underpin good performance in these skills; 2. be familiar with methods of communication and able to choose and tailor the communication form and style to suit the purpose of the communication and needs of different recipients; 3 be able to communicate orally and in writing and draft and amend documents in a form, style and tone appropriate for the recipients and the context; 4. demonstrate attention to detail; 5. be aware of the practical, commercial and personal considerations which should be taken into account; 6. deal appropriately with relevant professional conduct issues; 7. demonstrate sensitivity to issues of culture, diversity and disability in communication with clients, colleagues and others; 8. be able to use the skills in combination where appropriate. PRACTICAL LEGAL RESEARCH On completion of this area, students should: 1. understand the need for thorough investigation of all relevant factual and legal issues involved in a transaction or matter; 2. be able to undertake systematic and comprehensive legal research; 3. be able to present the results of their research. ELEMENT 1: Legal and factual issues Students should be able to investigate legal and factual issues and: 1. determine the scope and identify the objectives of the research; 2. determine whether additional information is required and identify appropriate sources for factual investigation; 3. identify the legal context(s) and analyse the legal issues; Page 28 of 46