AD1 Notes 2015-2016 AD1 v17 18/12/2015 1

AD1 v17 18/12/2015 1 AD1 Notes 2015-2016

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Section numbers below correspond to sections in the application form: Page Introduction 4 About form AD1 4 How to use the form 4 How to contact us 4 Pre-admission applicant screening 5 Overseas criminal record checks 5 Frequently asked questions 6 Where do I send the form and fee? 6 How can I pay? 6 Who should I make the cheque payable to? 6 Will I receive a receipt for the cheque and form? 6 What do I do if I have changed my name? 6 Do I really need a practising certificate? 6 Will I attend an admission ceremony? 6 Completing the Form 7 Section 1 - Personal details 7 Section 2 - Applying for admission to the roll of solicitors 7 Section 3 - For those who have served in a training contract/period of recognised training 8 Section 4 - For those who have followed another route to admission 8 Section 5 - The Suitability Test 11 Section 6 - Application for a practising certificate (PC) 14 Section 7 - Membership 14 Section 8 - Fees 14 Section 9 - Declaration 14 AD1 v17 18/12/2015 3

Introduction About form AD1 You can use this form to: apply for admission to the roll of solicitors of England and Wales, apply for your first practising certificate. Section 1A of the Solicitors Act 1974 requires that any solicitor employed in private practice in England and Wales in connection with the provision of legal services needs a practising certificate. If you are not sure if you need a practising certificate, please refer to the information held online at www.sra.org.uk or contact our Professional Ethics team (contact details provided below). How to use the form Please: check that any pre-printed information on the form is correct, including spelling. make any changes that are necessary and provide dates of when the changes were made. Please put a line through any deletions. Do not use liquid paper. add missing or extra information in the appropriate boxes. If you have completed a training contract/period of recognised training, Section 3 must be completed by your training principal. If you are qualifying by a route other than through a training contract/period of recognised training, you will be asked to provide evidence of your eligibility to apply for admission. Please ensure that you provide all required documentation. Your application will be delayed if we have to revert to you to seek further evidence. How to contact us If you need any assistance completing this form, please call our Contact Centre on 0370 606 2555 (inside the United Kingdom (UK)) or +44 (0)121 329 6800 (outside the UK). Our lines are open 08.00 to 18.00, Monday, Wednesday, Thursday, Friday and 09.30 to 18:00 Tuesday. If you wish to contact by e-mail the address is contactcentre@sra.org.uk. For help on the SRA Handbook, please call our Professional Ethics Helpline on 0370 606 2577 (inside the UK). This line is open from 11.00 to 13.00 and 15.00 to 17.00, Monday to Friday. Alternatively, please send an e-mail to professional.ethics@sra.org.uk. Our main fax number is +44 (0)121 616 1999 Our postal address is Solicitors Regulation Authority, The Cube, 199 Wharfside Street, Birmingham, B1 1RN or DX 720293 BIRMINGHAM 47. AD1 v17 18/12/2015 4

Pre-admission applicant screening The SRA has a responsibility under the Legal Services Act 2007 to ensure that people who are admitted to the roll are fit and proper. Regulation 6.1(b) of the SRA Admission Regulations 2011 requires you to satisfy the SRA as to your character and suitability. You will therefore be required to complete a screening process before you are admitted to the roll of solicitors. The screening process is completed online by Atlantic Data Ltd. This includes validating your name, address and other personal information, supplied during the application process, against appropriate third party databases. Screening also consists of a Standard Criminal Record Check issued by the Disclosure and Barring Service (DBS) and/or relevant overseas authorities (where applicable). You will need to allow a minimum period of eight weeks for this process to be completed. The fee for this is 42. If you are a trainee solicitor, the SRA will have contacted you 10 weeks prior to the completion of your training, to complete a declaration agreeing to the above checks and to request the payment of 42. If you have not received this, please contact us (see page 4 for our contact details). For all other routes to admission, please contact us, to arrange for the above declaration and further details to be sent to you. Once the screening process is complete, the DBS will send you a Standard Certificate. If there are disclosures on the Certificate, we will require the original document. Please ensure that this is sent to us by secure post. We will not require the document, if there are no disclosures. Overseas criminal record checks If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries. The check(s) must be the original document(s) and less than three months old. Where these are not in English, they must be translated into English by an accepted translation body. To obtain an overseas criminal record check, you may find the following website useful: www.gov.uk/government/publications/criminal-records-checks-for-overseas-applicants. Please allow sufficient time to obtain the required criminal record check(s), prior to your preferred admission date. AD1 v17 18/12/2015 5

Frequently asked questions Where do I send the form and fee? Please send your form and appropriate fee to: Authorisation Solicitors Regulation Authority The Cube 199 Wharfside Street Birmingham B1 1RN or DX 720293 Birmingham 47 Alternatively by fax on +44 (0) 121 643 9982, if payment is made by bank transfer. Any payment received without an accompanying application form will be held for a maximum of 30 days before being returned to the sender. How can I pay? You can pay the full amount by cheque, postal order or bank transfer. Only UK postal orders and cheques drawn on a UK bank in pounds sterling will be accepted. We do not accept payment via credit or debit cards. If the authorisation/cheque is not signed or payment is not enclosed, we will return the form to you. Who should I make the cheque payable to? Please make your cheque payable to the Law Society and add your SRA number to the back of the cheque. Will I receive a receipt for the cheque and form? The SRA does not automatically issue receipts for application forms or cheques. What do I do if I have changed my name? You should write your new name and the date the change became effective in Section 1 personal details. Please include documentary evidence such as a certified copy of your marriage certificate, deed poll or statutory declaration. Do I really need a practising certificate? If you are not sure whether you need a practising certificate please contact Professional Ethics. Will I attend an admission ceremony? You will automatically be invited to attend an admission ceremony in the Law Society Hall in Chancery Lane, London. Please note that your admission ceremony will not be on the date of admission. The Law Society will contact you following your admission, with details on how to book a ceremony date online. Attendance at an admission ceremony is not mandatory. AD1 v17 18/12/2015 6

Completing the Form Section 1 - Personal details Names If this section has been pre-printed, please make any amendments required. If you have changed your name, you must indicate both names (i.e. present and former) and the date the change became effective. Please include documentary evidence, such as a certified copy of your marriage certificate, deed poll or statutory declaration. SRA number Every individual has a unique SRA number, which is issued when enrolling as a student member or when applying for a certificate of eligibility under the Qualified Lawyers Transfer route to qualification. This will remain your number as long as your name appears on the roll of solicitors of England and Wales. Please be ready to quote your SRA number if you need to contact us. Employer Details Please provide your current employment details, if applicable. If your current employment is to continue following your admission to the roll, and you would like all correspondence to be sent to your employment address, please tick the Use as SRA contact address box. Home address Please provide a current home address (indicating the month and year you moved in). You may choose your employer address or your home address as your SRA contact address, by ticking the appropriate Use as SRA contact address box. If you have lived at any other address during the last five years please provide details in the boxes provided (the country for each must be specified). Please note that if you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to your preferred admission date. Please see page 5 for more details. Section 2 - Applying for admission to the roll of solicitors Choice of admission date Admission takes place on two dates each month. Please see the enclosed separate sheet for details of the dates, which also show the deadline for submission of this form. When deciding on your admission date, additional time must be allowed if you: are disclosing any character and suitability issues; require the assessment of work experience; or need to obtain an overseas criminal record check (please see page 5 for more details). AD1 v17 18/12/2015 7

When selecting your preferred admission date please ensure: Your preferred admission date is after the date you complete your training contract/period of recognised training. If you are exempt from a training contract or a period of recognised training, you must be eligible for admission on or before your preferred admission date. You have completed the Professional Skills Course (PSC). If you have followed the Qualified Lawyers Transfer Regulations (QLTR)/Qualified Lawyers Transfer Scheme Regulations (QLTS) route you have satisfied the requirements under these regulations. We must receive: Your form and fee at least 28 days before your preferred admission date. Your pre-admission applicant screening declaration and fee at least eight weeks before your preferred admission date. Please see page 5 for more details. Section 3 - For those who have served in a training contract/period of recognised training If this section has been pre-printed, please make any amendments required. Declaration by the training principal To avoid delays with your application, please ensure your training principal has: confirmed whether you have complied with the 2011 or 2014 SRA Training Regulations, by ticking the appropriate box. confirmed whether you have carried out your training contract/period of recognised training under a full or part time basis, by ticking the appropriate box. confirmed your completion of the PSC by completing the 'Dates attended' and 'Course provider' boxes. signed and dated the declaration. printed out their name in block capitals. If your training principal cannot for any reason, certify your period of training, an explanation for this must be provided. If your training principal is absent from the office due to holiday or sickness, the declaration can be signed by another manager*, providing that they have been with the firm for the duration of your training. If this is the case, please provide a letter from your firm (on firm s letterhead), explaining why the training principal is unable to sign. This letter should confirm the name, position and SRA number of the manager who has signed the declaration. *a manager is a member of a Limited Liability Partnership (LLP), a director of a company, a partner in a partnership or in relation to any other body, a member of its governing body. Section 4 - For those who have followed another route to admission Please complete as appropriate. Please do not submit your application form until you have received confirmation of all results and/or exemptions. Please also note that where a CILEx or Assistant Justices Clerk has entered into a registered training contract/period of recognised training, they AD1 v17 18/12/2015 8

must complete all elements of the PSC, in line with the SRA Training Regulations. Chartered Legal Executives (CILEx) Please enclose: a certified copy of your CILEx certificate. a certified copy/copies of your PSC certificate(s) confirming that you have passed the Advocacy and Communications Skills, Client Care and Professional Standards (formerly Ethics and Client Responsibilities) and the Financial Business Skills modules of the PSC. a certified copy of your Legal Practice Course (LPC) completion certificate. a letter from an employer (an original on letterhead) confirming that you have been engaged as a Chartered Legal Executive in the practice of law. If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to your preferred admission date. Please see page 5 for more details. Assistant Justices Clerks Please enclose: a certified copy/copies of your PSC certificate(s) confirming that you have passed the Advocacy and Communications Skills, Client Care and Professional Standards (formerly Ethics and Client Responsibilities) and the Financial Business Skills modules of the PSC. a certified copy of your LPC completion certificate. a letter from an employer (an original on letterhead) confirming that before attending the LPC, you have served at least five out of the last 10 years in the Magistrates Courts Service as an Assistant Justices Clerk. If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to your preferred admission date. Please see page 5 for more details Qualified Lawyers Transfer Regulations applicants (QLTR) Please ensure that you have met the requirements of your Certificate of Eligibility, before making an application for admission as a solicitor. Please enclose: certified copies of your certificates demonstrating that you have passed the required heads of the Qualified Lawyers Transfer Test. evidence that you have completed any outstanding work experience requirement. This experience must be detailed on a Work Experience Evidence Form with a covering letter (an original on the firm s letterhead) from your supervisor to confirm the information outlined in the form. For details regarding the work experience requirement and how to obtain a copy of the Work Experience Evidence Form, please see our website at the following link: www.sra.org.uk/trainees/admission/admission-criteria.page#2. an original certificate or certificates of good standing from your professional body or home court in all jurisdictions where you have been admitted confirming: your date of admission, that you are of good character and repute, neither has there been nor are there any proceedings pending against you for professional or other misconduct and whether or not you are currently entitled to AD1 v17 18/12/2015 9

practise and if not the reason for this. The certificate(s) must be received by the SRA within three months of the date of issue. Please note that the SRA will undertake random verification of certificates of good standing with the applicants home bar associations. If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to your preferred admission date. Please see page 5 for more details. Qualified Lawyers Transfer Scheme Regulations applicants (QLTS) Please ensure that you have met the requirements of the above regulations, before making an application for admission as a solicitor. Please enclose: an original certificate or certificates of good standing from your professional body or home court in all jurisdictions where you have been admitted confirming: your date of admission, that you are of good character and repute, neither has there been nor are there any proceedings pending against you for professional or other misconduct and whether or not you are currently entitled to practise and if not the reason for this. The certificate(s) must be received by the SRA within three months of the date of issue. Please note that the SRA will undertake random verification of certificates of good standing with the applicants home bar associations. If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to your preferred admission date. Please see page 5 for more details. Solicitors admitted by the Law Society of Ireland If you are a European Union (EU) national who has been admitted by the Law Society of Ireland and who has passed the Law Society of Ireland s English Law Property Law Module, please enclose: a certified copy of your passport evidencing that you are an EU national. an original certificate or certificates of good standing from your professional body or home court in all jurisdictions where you have been admitted confirming: your date of admission, that you are of good character and repute, neither has there been nor are there any proceedings pending against you for professional or other misconduct and whether or not you are currently entitled to practise and if not the reason for this. The certificate(s) must be received by the SRA within three months of the date of issue. Please note that the SRA will undertake random verification of certificates of good standing with the applicants home bar associations. Evidence of completion of the English Property Law Module, is usually provided to the SRA by the Law Society of Ireland. Please ensure that this evidence has been provided, prior to the submission of your application. Alternatively, you can enclose a certified copy of your completion certificate. If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to AD1 v17 18/12/2015 10

your preferred admission date. Please see page 5 for more details. Solicitors admitted by the Law Society of Northern Ireland If you are a solicitor who has been admitted by the Law Society of Northern Ireland and has passed a Qualifying Law Degree (QLD), please enclose: a certified copy of your QLD certificate. Please see our website at www.sra.org.uk/students/courses/qualifying-law-degreeproviders.page for details on QLD providers. an original certificate or certificates of good standing from your professional body or home court in all jurisdictions where you have been admitted confirming: your date of admission, that you are of good character and repute, neither has there been nor are there any proceedings pending against you for professional or other misconduct and whether or not you are currently entitled to practise and if not the reason for this. The certificate(s) must be received by the SRA within three months of the date of issue. Please note that the SRA will undertake random verification of certificates of good standing with the applicants home bar associations. If you have lived in a country outside of the UK, for a period of 12 months, during the last five years, you must provide evidence of a criminal record check from the relevant country or countries, prior to your preferred admission date. Please see page 5 for more details. Application for Higher Rights of Audience (barristers of England and Wales) If you are a barrister who has completed full pupillage please enclose an original certificate of good standing from the Bar Council. This must be received by the SRA within three months of the date of issue. Section 5 - The Suitability Test We must be satisfied as to your character and suitability to be a solicitor before you are admitted to the roll. The questions in Section 5 are based on the criteria set out in the SRA Suitability Test 2011. www.sra.org.uk/solicitors/handbook/suitabilitytest/content.page. You must disclose all material information. Failure to disclose material information will be treated as prima facie evidence of dishonest behaviour. You are therefore encouraged to provide all information in respect of your character and suitability, even if you are unsure whether it is material. You must also disclose spent cautions and convictions unless they are protected cautions or convictions. If you disclose any issues that may affect your character and suitability, you must provide full details, including, where appropriate, supporting independent evidence. We will then undertake an assessment of the information you have provided. www.sra.org.uk/trainees/period-recognisedtraining.page#character. We are aware that we receive applications in respect of overseas candidates and that some of the terminology used in the form, particularly in respect of criminal offences and financial behaviour, may not be exactly analogous to terminology relevant in the home jurisdiction. We would ask that you carefully consider the terminology of the Suitability Test in the context of your home jurisdiction AD1 v17 18/12/2015 11

and provide as much information as possible about any issues which call into question your character and suitability. If the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 is applicable to your occupation, profession or role, you must declare all convictions and cautions, even if they are deemed to be spent in accordance with the Act, unless they are protected convictions or cautions. If you fall within the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 and you fail to disclose information about convictions and/or cautions for criminal offences which are not protected convictions or cautions, whether they are spent or unspent, we will consider this as amounting to prima facie evidence of dishonest behaviour. (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) The provisions of the Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 will be taken into account by us in considering any application you make. This means that if you fall within the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, the fact that the conviction is spent, and the time that has passed since the conviction was given, together with any other material circumstances will be taken into account by us when determining any application made by you. A period of rehabilitation, particularly after we have decided to refuse your application, will not in itself result in automatic admission/authorisation. We need you to show, through a period of good behaviour, that you have taken steps to rehabilitate yourself by your own volition. Amendments made to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 in May 2013 introduced protected convictions and protected cautions. Questions we ask about convictions or cautions will, therefore, exclude protected cautions or convictions and failure to disclose will not be considered as prima facie evidence of dishonesty. A caution is a protected caution if: (a) it was given other than for an offence listed in article 2A(5) of the Exceptions Order, and; (b) where the person was aged: (A) 18 or over at the time the caution was given, six years or more have passed since the caution was given, or; (B) under 18 at the time the caution was given, two years or more have passed since the caution was given. A conviction is a protected conviction if: (a) it was given other than for an offence listed in article 2A(5) of the Exceptions Order; (b) a sentence other than custody or service detention was imposed; (c) the person has not been convicted of any other offence at any time, and; (d) where the person was aged: (A) 18 or over at the time of the conviction, 11 years or more have passed since the date of conviction, or (B) under 18 at the time of the conviction, five and a half years or more have passed since the date of conviction. The DBS will filter any protected convictions and cautions, so they will not appear on standard disclosures. The following individuals and roles are covered by the Exceptions Order and spent convictions and cautions, excluding protected convictions and cautions, must be disclosed: AD1 v17 18/12/2015 12

(a) applicants seeking admission to the profession, i.e. applicants for student enrolment, QLTSR certificates of eligibility, and admission; (b) non-lawyer managers in existing Legal Disciplinary Practices; (c) non-lawyer owners who hold a material interest in a licensed body; (d) COLPs and COFAs of licensed bodies. (e) applications for registration as a registered European lawyer and registered foreign lawyer. (ix) The following individuals and roles are not covered by the Exceptions Order and spent convictions and cautions should not be disclosed: (a) former solicitors seeking restoration to the roll; (b) owners of recognised bodies; (c) COLPs and COFAs of recognised bodies; (d) owners of licensed bodies who do not require approval under Schedule 13 to the LSA; (e) managers of authorised bodies. AD1 v17 18/12/2015 13

Section 6 - Application for a practising certificate (PC) Please confirm if you wish to apply for a PC. If your answer is Yes, please tick the appropriate box to confirm the period in which you would like your PC to start. This will also confirm the fee required, which you will need to enter in Section 8 of the application form. If your answer is No please state why you will not be requiring a PC. Please note: If you practise as a solicitor without a PC you will be committing a criminal offence. Section 1A of the Solicitors Act 1974 provides that any solicitor who is employed in private practice in connection with the provision of any legal service is practising as a solicitor. The earliest date a PC can start from is your admission date. If a PC is required to start on a later date, please provide your reason for this. If a PC is issued this will be valid until 31 October 2016. Welsh practising certificates Please tick the box if you wish to receive your practising certificate in the Welsh language. An English translation will be provided on the reverse side of the certificate. Section 7 - Membership All those admitted to the roll automatically become members of the Law Society. Membership is free of charge and this section provides you with the opportunity to decline membership. For your entitlements of membership, please see the Law Society s web page: www.lawsociety.org.uk/support-services/. Law Society s Gazette If you would like your Gazette to go to an address other than your practising address (e.g. home address), please call the Law Society on 020 7841 5523. Alternatively, you may notify them by email at gazette-subscriptions@lawsociety.org.uk. Section 8 - Fees Please include the practising certificate fee if applicable (please refer to section 6) and complete the total box. The fee for admission is 100. Section 9 - Declaration All applicants must complete this section. You must sign and date this section or the form will be returned to you. This may delay your admission and the issue of your practising certificate if you have requested one. AD1 v17 18/12/2015 14