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Supervision of Pupillage Training Organisations

2017-19 pilot

Implementing the Professional Statement, Threshold Standard and

Competences

Contents

1. Introduction .................................................................................................................... 1

1.1 Future Bar Training ................................................................................................. 1

1.2 Professional Statement, Threshold Standard and Competences ............................ 1

1.3 Other aspects of pupillage ...................................................................................... 2

2. The pilot approach to implementing the Professional Statement, Threshold Standard

and Competences ................................................................................................................. 3

2.1 What we will ask PTOs on the pilot to do ................................................................ 3

2.2 What you can expect from us during the pilot.......................................................... 4

2.3 Does every section of the PSTS&C apply to pupillage? .......................................... 4

2.4 How different is the PSTS&C from the current checklists? ...................................... 5

3. Context: the regulatory framework ................................................................................. 6

3.1 Regulatory Objectives ............................................................................................. 6

3.2 Regulatory Risk Index ............................................................................................. 6

3.3 Core Duties ............................................................................................................. 7

3.4 Authorisation Framework ........................................................................................ 7

3.5 BSB Supervision Strategy ....................................................................................... 7

4. Equality & Diversity ........................................................................................................ 7

4.1 Equality Impact Assessment ................................................................................... 7

4.2 Regulatory Risks ..................................................................................................... 7

Annex A: Comparison of the Pupillage Checklists to the Professional Statement, Threshold Standard & Competences

Annex B: Pupillage Training Organisation Key Processes

Annex C: Supervision approach

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1 INTRODUCTION

1.1 Future Bar Training

1.1.1 The BSB has been consulting on options for Future Bar Training (“FBT”). In March

2017, the Board decided that it will authorise a limited number of future training

routes for prospective students to qualify as barristers. The BSB will prepare and

publish an Authorisation Framework, in consultation with stakeholders, in order to

assess all future training routes against the criteria of:

flexibility;

accessibility;

affordability; and

sustaining high standards.

1.1.2 Currently pupillage, the Professional Stage of training, is the last stage in a linear

route to qualifying as a practising barrister who is entitled to carry out reserved legal

activities. Pupils undertake a year of paid, practical, work-based training, supervised

by experienced barristers. Academic and vocational learning is consolidated in a

non-practising period, followed by a practising period. This ensures that pupils have

the knowledge, skills and attributes that all barristers should have on ‘day one’ of

practice, i.e. upon the issue of a full qualification certificate, on which basis they can

apply for a full practising certificate.

1.1.3 In its policy statement, the Board does not envisage substantive changes to the

current arrangements for pupillage, although it is of the view that an apprenticeship

model would be permissible in our regulatory framework, most likely in the employed

Bar. The Board said it will take steps to encourage a wider range of pupillages, and

other final-stage training opportunities, to be made available.

1.1.4 The Board agreed to continue its work to improve the oversight of pupillage, taking

steps to ensure the consistency of the outcomes at the end of pupillage – to give the

public confidence that, wherever and however a barrister has done this final stage of

training, the same minimum standard as set out in the Professional Statement has

been achieved.

1.2 Professional Statement, Threshold Standard and Competences

1.2.1 The requirements for pupillage are set out in the BSB Handbook. It is the primary

reference for regulations for pupils, Pupillage Training Organisations (“PTOs”) and

pupil supervisors.

1.2.2 The BSB Handbook makes provision for the BSB to set additional requirements in

certain areas. The Pupillage Handbook sets out those additional requirements and

provides some guidance for pupils, PTOs and pupil supervisors. It should be read in

conjunction with the BSB Handbook.

https://www.barstandardsboard.org.uk/media-centre/press-releases-and-news/bsb-announces-decision-on-the-future-of-bar-training/



https://www.barstandardsboard.org.uk/regulatory-requirements/bsb-handbook/

https://www.barstandardsboard.org.uk/media/1776609/bsb_pupillage_handbook_july_2016.pdf

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1.2.3 As part of the FBT programme, we published the Professional Statement, Threshold

Standard and Competences (“PSTS&C”) in September 2016:

The Professional Statement describes the knowledge, skills and attributes that all

barristers will have on ‘day one’ of practice.

Competences are defined for each knowledge, skill and attribute. Barristers

should demonstrate all competences in order to evidence that they have the

specified knowledge, skills and attributes.

The Threshold Standard describes the minimum, or standard, to which the

competences should be performed on ‘day one’ of practice. Standards are also

incorporated within the competences.

Training during pupillage must now be designed to meet the newly defined

competences and the requirements reflected in the Pupillage Handbook.

1.2.4 The implementation of the new CPD requirements, Supervision Returns, Supervision

visits, entity and ABS authorisation have all been rolled out on a pilot basis first. This

has enabled lessons to be learned with willing participants before full rollout.

Therefore we plan to carry out a pilot in 2017-19, before rolling out implementation of

the PSTS&C to PTOs fully in 2019. We intend to invite 6-10 PTOs to take part in this

pilot, covering a range of sizes, geographic locations and practice areas. The pilot

will include both chambers and other types of organisations. Once tested and

amended for the results of the pilot, the requirements will be incorporated into the

Pupillage Handbook.

1.2.5 The BSB has a risk-based approach to supervision of chambers, BSB authorised

bodies and PTOs. This document explains how we plan to supervise PTOs to ensure

that the PSTS&C is implemented and to meet the Board’s intention to improve the

oversight of pupillage. This will be tested through the pilot during 2017-19.

1.3 Other aspects of pupillage

1.3.1 We are also carrying out a review of some key aspects of pupillage as part of the

wider FBT programme of work, following feedback from the consultations that we

have carried out. We plan to use the pilots to review our requirements in the following

areas.

The length and structure of pupillage, which is currently split into prescribed non-

practising and practising periods of 6 months each, including:

o The arrangements and requirements for issuing provisional practising

certificates.

o Whether PTOs should be able to split practising and non-practising

pupillages and offer them separately.

The role of Pupil Supervisors.

Written contracts for pupillage.

The process that we have for administering pupillage (registration and

completion).

These are described further in the following sections.

https://www.barstandardsboard.org.uk/media/1787559/bsb_professional_statement_and_competences_2016.pdf

https://www.barstandardsboard.org.uk/media/1787559/bsb_professional_statement_and_competences_2016.pdf

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2 THE PILOT APPROACH TO IMPLEMENTING THE PROFESSIONAL STATEMENT,

THRESHOLD STANDARD AND COMPETENCES

2.1 What we will ask PTOs on the pilot to do

2.1.1 In line with the objectives of the FBT programme, we plan to take an outcomes-

focussed approach to supervision of PTOs. We will require PTOs to:

have regard to the PSTS&C and use that to formulate their own material in

support of their pupillage training programme; and

demonstrate to the BSB, through the Authorisation and Supervision process, that

it meets the outcomes of the PSTS&C, ie. the training programme enables

barristers to demonstrate the competences at the threshold standard on ‘day one’

of practice.

2.1.2 It will be down to PTOs to develop their own training plan and records in place of the

current checklists that are signed off by Pupil Supervisors, to provide evidence to the

BSB that pupils have met the competences, successfully completed pupillage and

are eligible to apply to the BSB for a full qualification certificate and a full practising

certificate.

2.1.3 Our approach to Supervision of PTOs is described in Annexes B and C. We have

identified a number of key processes that we expect competently administered PTOs

to be managing in order to ensure that high quality professional training is delivered

to a consistent standard, that they are compliant with regulatory requirements and

that pupils meet the required competences. We will test these with PTOs during the

pilot to ensure that we are focussing on the right areas so that the relevant outcomes

are met and regulatory risks are managed.

2.1.4 Currently, Pupil Supervisors must sign off that each period of pupillage (which is

currently split into prescribed non-practising and practising periods of 6 months each)

has been “satisfactorily completed”. As part of this pilot, we will explore the following

aspects of this:

How the PTO certifies that the pupil has met the relevant competences in the

PSTS&C. We will not prescribe the format of checklists or other records that

support that sign-off but we recognise that some PTOs may need support to

develop appropriate templates.

Whether there should be flexibility in the length and structure of pupillage.

Whether the current requirements and arrangements to apply for a provisional

practising certificate part way through pupillage remain appropriate.

Whether the one-to-one relationship between pupils and their supervisors, and

the requirement for the supervisor to sign off their pupil, should remain a BSB

Handbook requirement.

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2.2 What you can expect from us during the pilot

2.2.1 A general principle underlying FBT is that it will be for potential providers to

demonstrate how they expect to meet the requirements we have set. The approach

to implementing the PSTS&C should reflect this principle, which means a move away

from prescriptive checklists drawn up by the BSB. However, we recognise that most

PTOs are small chambers that take on one or two pupils at a time, not necessarily

every year. They face cost pressures, are run on a lean staff basis with limited

support structures, and rely on barristers giving their time freely to support pupillages.

We recognise that PTOs are used to the current checklists and smaller PTOs may

struggle with designing their own documentation. We will explore this during the pilot,

and will assist those who need it with guidance and support to develop templates.

2.2.2 We are currently developing an Authorisation Framework, which will enable us to

assess whether training proposals enable pupils meet the requirements set out in the

PSTS&C. We anticipate providing the structure for PTOs to demonstrate this through

the new Authorisation Framework in future.

2.2.3 We will also be available to support PTOs in the pilot more widely as the pupillages

progress. We will have regular contact with the PTOs through visits, telephone and

email contact to ensure that pupillages are progressing as they should and are not

negatively impacted by the pilot. There will be dedicated members of BSB staff

working on the pilot, if queries or problems arise.

2.2.4 We expect that pupils will have concerns that their pupillage experience will be

different to their peers at other PTOs. They may be concerned about how the pilot

will impact them and their tenancy opportunities. We want to ensure that there is no

detriment to the pupils taking part in the pilot. We will provide support and

reassurance that they will still gain the same rich diversity of experience as their

peers elsewhere. We will be available to meet with them, both individually and in

peer group settings, to ensure their pupillages are progressing well, and to listen to

any concerns.

2.2.5 We will seek feedback from pupils, pupil supervisors and PTOs on their experience

throughout, and upon completion of the pilot, to help shape the requirements and

processes in following years.

2.2.6 We are particularly mindful that our approach to implementing the PSTS&C should

not need to be amended to reflect possible new routes to authorisation, following the

Board’s decision in March 2017 to allow a limited number of alternative training

routes for the Bar.

2.3 Does every section of the PSTS&C apply to pupillage?

2.3.1 We have been working with our colleagues in BPTC Training Supervision to map out

which sections of the PSTS&C are learned (in whole or at a foundation level) at each

stage of training (Academic, Vocational and Professional).


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2.3.2 Our colleagues have tested this with the BPTC providers and the conclusions for

Academic and Vocational Training are set out in Annex A.

2.3.3 From September 2017, we will be expecting all training providers to ensure that

students understand how the Vocational stage of training contributes to their

professional development as defined in the PSTS&C. So in future, PTOs can expect

pupils to have more familiarity with the PSTS&C. BPP Manchester has already

started doing this.

Case Study: BPP University Law School Manchester

“At BPP University Law School in Manchester we have integrated the PSTS&C into

our termly Professional Development Meetings. This has been enthusiastically

embraced by students and tutors as a way of assisting students with their

development and getting them ready for day one of pupillage.

The advantages of formally introducing the PSTS&C at the very beginning of

vocational training are difficult to overstate. From a student perspective, the

PSTS&C provides a means of understanding the wide-range of skills which must be

evidenced when applying for and during pupillage. These skills are universal

regardless of the student’s preferred area of practice. For the tutors, who are all

practitioners themselves, the PSTS&C is an invaluable teaching tool in reinforcing

with the students the high professional standards expected at the Bar and that

professional development is a lifelong commitment.”

2.3.4 Note that whilst a competence can be met at the Vocational Stage, it does not mean

that it is not developed further during pupillage. We think that most of the PSTS&C

(except for section 1.2) would be covered during pupillage, given that this is the stage

when acquired knowledge is put into supervised practice. This pilot provides an

opportunity to test with PTOs and be clear about which competences are relevant to

pupillage.

2.4 How different is the PSTS&C from the current checklists?

2.4.1 Taking into account the large number of small PTOs, and the fact they are used to

using checklists, we started to design an interim checklist that would help PTOs to

map the new requirements in the PSTS&C to the current checklists. However, this

quickly proved unwieldy and confusing. We concluded that this would not be helpful.

2.4.2 Instead, we have charted which sections of the PSTS&C we think should be covered

during pupillage (see Annex A) and which sections are covered in the current

checklists. We concluded that the current checklists broadly cover the same areas as

the PSTS&C. The main differences are:

More detail on the competences provided in the PSTS&C

New language

Some additional competences, particularly those relating to:

o analysis and evaluation (eg 1.5, 1.6 and 1.10)

o communication skills (eg 1.8 and 1.9)

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o practice management (section 4)

However these and others are likely to be competences already tested during

pupillage – just not explicitly stated in the current checklist.

2.4.3 We will test this during the pilot so that, when fully rolled out, we can help PTOs to

understand the impact of the change.

2.4.4 We will also engage with the Specialist Bar Associations, who have developed their

own specialist checklists, to consider if and how they might be developed.

3 CONTEXT: THE REGULATORY FRAMEWORK

3.1 Regulatory Objectives

3.1.1 Supervision operates within the framework of the Regulatory Objectives that are set

out in the Legal Services Act 20071. The following Regulatory Objectives are

particularly relevant to pupillage.

6. Encouraging an independent, strong, diverse and effective legal profession.

8. Promoting and maintaining adherence (by authorised persons) to the professional

principles.

3.2 Regulatory Risk Index

3.2.1 We publish this catalogue of regulatory risks so that those we regulate, and everyone

else with an interest in our approach, can better understand the rationale behind our

activities.

3.2.2 The Index sets out the things that we have identified in the market that could result in

poor outcomes for the public and consumers. Where these problems arise in the

market, they get in the way of us delivering our regulatory objectives and are

therefore known as regulatory risks. Our Index helps us to structure our regulatory

priorities. These priorities inform our strategy and our corporate objectives.

3.2.3 The following Regulatory Risk from the Index is particularly relevant to pupillage:

3.1 Inadequate training and preparation for practice: the risk that training is not

available or is not of sufficient quality to prepare barristers to be competent in

delivering the services required of them.

1 Regulatory Objectives in the Legal Services Act 2007: www.legislation.gov.uk/ukpga/2007/29/contents

http://www.legislation.gov.uk/ukpga/2007/29/contents

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3.3 Core Duties

3.3.1 BSB regulated persons are subject to the Core Duties in the BSB Handbook. The

following Core Duty is particularly relevant to pupillage:

CD10 You must take reasonable steps to manage your practice, or carry out your

role within your practice, competently and in such a way as to achieve compliance

with your legal and regulatory obligations

3.4 Authorisation Framework

3.4.1 The FBT programme that is underway at the BSB includes development of a new

“Authorisation Framework” for approving training providers. We will work with

colleagues to ensure that the basis for authorising PTOs is consistent with how we

supervise them. We will also agree the administrative requirements for registering

and completion of pupillage.

3.5 BSB Supervision Strategy

3.5.1 The BSB takes an evidence- and risk-based approach to supervision. This includes

supervision of pupillage arrangements in PTOs.

3.5.2 Further details about the approach to Supervision is included in Annex C.

4 EQUALITY & DIVERSITY

4.1 Equality Impact Assessment

4.1.1 An Equality Impact Assessment (“EIA”) has been carried out for FBT and for the

PSTS&C. The Professional Statement was developed with a number of safeguards

in place to ensure that equality and diversity issues were monitored throughout the

project.

4.1.2 The EIA concluded that the adverse impacts that the PSTS&C could have are

outweighed by the benefit that they will have on equality and diversity issues,

including embedding equality and diversity matters into the profession and requiring

all barristers to meet a number of competences which relate to diversity.

4.1.3 We will monitor and update this assessment as the pilot progresses. It is important to

ensure that any changes are not perceived as a burden that put off small PTOs from

taking on pupils. Our research show that BAME barristers are more likely to practise

from smaller chambers. Piloting the new approach with a range of PTOs, including

small ones, will allow us to test this risk and make adjustments before full rollout.

Some chambers have said in the FBT consultation that the imposition of a bigger

burden would put them off taking on pupils. Taking a checklist away may be received

negatively by some PTOs. Others may see it as reducing the regulatory burden.

4.2 Regulatory Risks

4.2.1 These risks also reflect two risks from our Regulatory Risk Index:

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Regulatory Risk 5.6: Lack of diverse and representative profession - The risk

arising from failure adequately to reflect diversity of the public within the regulated

community.

Regulatory Risk 5.7: Excessive barriers to supply of legal services - the risk that

cost or other obstacles prevent good quality barristers and entities from entering

or remaining in the market.


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The Training Supervision team have reviewed with the BPTC providers which Threshold Standards that they think are currently covered: 1. At the Academic stage of training 2. On the BPTC course at a foundation level only 3. On the BPTC course to the threshold standard Their assessment is summarised in the following table. We reviewed which Threshold Standards and Competences that we think are covered by the current Pupillage Checklist or the Specialist Checklists, which we have also summarised in the following table.

* As the Threshold Standards and Competences are worded differently to the current checklists, there is not an exact mapping, so the “X’s” below reflect broadly similar content. In some cases, they are addressed in some of the Specialist Checklists (although not consistently).

** There are a number of areas that are not explicitly referenced in the current checklists, but we would expect most Pupillage Training Organisations to be addressing many of them already. The “Pupillage Future” column reflects the Threshold Standards and Competences that we would expect will be covered by training and practise during pupillage, either within PTOs or via training provided by the Inns (or other organisations). This will be tested with PTOs in the pilot.

The Advocacy course is compulsory in pupillage. It is run by the Inns based on the “Dutton Criteria”.

https://www.icca.ac.uk/advocacy-training/what-are-the-dutton-criteria


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Barristers will: COVERED AT

ACADEMIC STAGE

COVERED BY BPTC

COURSE

ADVOCACY COURSE

PUPILLAGE Current

checklists*

PUPILLAGE Future **

1. Barristers’ distinctive characteristics

Legal knowledge, skills and attributes

1.1 Uphold the reputation of the Bar and observe their duty to the court in the administration of justice.

Foundation X X

1.2 Have a knowledge and understanding of the key concepts and principles of public and private law.

Yes

1.3 Have a knowledge and understanding of the law and procedure relevant to their area(s) of practice.

Foundation X X

1.4 Have an awareness of the wide range of other organisations supporting the administration of justice.

X X

1.5 Apply effective analytical and evaluative skills to their work. Foundation X

1.6 Provide clear, concise and accurate advice in writing and orally and take responsibility for it.

Foundation X X

1.7 Negotiate effectively. Foundation X X

Practical knowledge, skills and attributes

1.8 Exercise good English language skills. Students should

demonstrate this

competence prior to

enrolment

X X


11


ACADEMIC STAGE

COVERED BY BPTC

COURSE

ADVOCACY COURSE

PUPILLAGE Current

checklists*

PUPILLAGE Future **

on the BPTC

1.9 Exercise good communication skills, through any appropriate medium and with any audience as required in their work.

Threshold Standard

X X

1.10 Make sound judgements in their work. Foundation X

1.11 Ensure they are fully prepared. Threshold Standard

X X

1.12 Employ effective research skills. Threshold Standard

X X

Advocacy

1.13 Draft court and other legal documents which are clear, concise, accurate and written so as to reflect fairly the arguments advanced by both sides.

Foundation X X

1.14 Draft skeleton arguments which present the relevant facts, law and arguments in a clear, concise and well-structured manner.

Threshold Standard

X X X

1.15 Have persuasive oral advocacy skills. Foundation X X X

Professional standards

1.16 Comply with regulatory requirements set down by the Bar Standards Board, including the Code of Conduct.

Threshold Standard

X X

1.17 Know how to conduct themselves appropriately in court. Foundation X X

1.18 Only accept work which they believe they are competent to undertake. Foundation X X


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ACADEMIC STAGE

COVERED BY BPTC

COURSE

ADVOCACY COURSE

PUPILLAGE Current

checklists*

PUPILLAGE Future **

2. Personal values and standards

Values, characteristics and behaviours

2.1 Act with the utmost integrity and independence at all times, in the interests of justice, representing clients with courage, perseverance and fearlessness.

Foundation X

2.2 Be honest in their dealings with others Threshold Standard

X

2.3 Be aware and active in the pursuit of equality and respect for diversity, not tolerating unlawful discrimination, in themselves or others.

Foundation X

2.4 Ensure their work does not incur unnecessary fees. X X

2.5 Adopt a reflective approach to their work, enabling them to correct errors and admit if they have made mistakes.

Foundation X

2.6 Ensure they practise with adaptability and flexibility, by being self-aware and self-directed, recognising and acting upon the continual need to maintain and develop their knowledge and skills.

Foundation X

3. Working with others

At work

3.1 Understand and exercise their duty to act in the best interests of their client. Foundation X X

3.2 Understand and apply principles of team working where appropriate. Foundation X

3.3 Respond appropriately to those from diverse backgrounds and to the needs and sensitivities created by individual circumstances.

Foundation X


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ACADEMIC STAGE

COVERED BY BPTC

COURSE

ADVOCACY COURSE

PUPILLAGE Current

checklists*

PUPILLAGE Future **

3.4 Treat all people with respect and courtesy, regardless of their background or circumstances.

Foundation X

3.5 Where appropriate, keep clients, whether lay or professional, informed of case progress in a clear and timely manner and manage their expectations.

Foundation X

Lay individuals

3.6 Demonstrate a good awareness of their additional responsibilities in cases involving direct access and litigants in person.

Foundation X X

4. Management of practice

Personal practice management

4.1 Where appropriate, possess a strong understanding of the specific implications of being:

4.1.1 a self-employed barrister; 4.1.2 an employed barrister.

X X

4.2 Possess sufficient understanding of organisational and management skills to be able to maintain an effective and efficient practice.

X X

4.3 Plan their personal workload and absences so as to ensure they deliver on all work commitments they have made.

X

4.4 Understand the organisational systems or structures within which they work and which support their delivery of a professional service.

X

Professional compliance and work

4.5 Maintain the confidentiality of their clients’ affairs, adopting secure technology where appropriate.

X X


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ACADEMIC STAGE

COVERED BY BPTC

COURSE

ADVOCACY COURSE

PUPILLAGE Current

checklists*

PUPILLAGE Future **

4.6 Exercise good time-keeping in face-to-face or telephone encounters. X

4.7 Where necessary, be diligent in keeping good records and files of cases. X X


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Pupillage is the final stage of training to qualify as a practising barrister who is entitled to

carry out reserved legal activities. Pupils undertake a year of paid, practical, work-based

training, supervised by experienced barristers. Academic and vocational learning is

consolidated in a non-practising period, followed by a practising period. This ensures that

pupils have the knowledge, skills and attributes that all barristers should have on ‘day one’ of

practice, i.e. upon the issue of a full qualification certificate, on which basis they can apply

for a full practising certificate.

In its policy statement on Bar training, the Board agreed to continue its work to improve the

oversight of pupillage, taking steps to ensure the consistency of the outcomes at the end of

pupillage – to give the public confidence that, wherever and however a barrister has done

this final stage of training, the same minimum standard as set out in the Professional

Statement has been achieved.

We have identified a number of key processes that we expect competently administered

PTOs to be managing in order to ensure that high quality professional training is delivered to

a consistent standard, that they are compliant with regulatory requirements and that pupils

meet the required competences. We will test these with PTOs during the pilot to ensure that

we are focussing on the right areas to ensure that the relevant outcomes are met and

regulatory risks are managed:

1. Governance arrangements

2. Fair recruitment

3. Funding and resources

4. Delivery of pupillage training programme

5. Supervision arrangements

6. Practice development and career opportunities after pupillage

7. Support and advice for pupils

https://www.barstandardsboard.org.uk/media/1825162/032317_fbt_-_policy_statement_version_for_publication.pdf


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1. Governance arrangements and administration of pupillage

Risks:

1.8 Culture of the training environment: The risk that an unhealthy culture within a

training establishment encourages or enables poor behaviours which impact upon

dignity, respect, well-being, learning experience and outcomes and professional identity.

3.1 Inadequate training and preparation for practice: The risk that training is not of

sufficient quality to prepare barristers to be competent in delivering the services required

of them.

4.1 Viability of training providers: The risk that a training provider is de-stabilised

resulting in immediate closure or significant disruption to the training services it provides

due to an unstable training market or the inability of the BSB to conduct due diligence

prior to accreditation.

4.2 Ineffective systems and controls: The risk that a PTO’s systems and controls are

inadequate or ineffective to ensure that students receive a consistent and good quality

service. This includes adequate record keeping.

Arrangements will vary according the size, resources and range of work of the PTO, but

key controls are likely to include:

Pupillage Committee that provides oversight and quality assurance for pupillage

training arrangements. This might include:

o approving policies and periodic review;

o overseeing development and update of training programmes to ensure that

they are designed to provide pupils with the knowledge, skills and attributes

set out in the Professional Statement, Threshold Standard and Competences;

o ensuring that pupil supervisors are adequately trained, maintain skills up to

date and exemplify values;

o ensuring processes support fair recruitment;

o providing oversight for pupillage progress;

o fair access to work - ensuring that the breadth of work provided to all pupils is

appropriate;

o secondment arrangement to other organisations;

o the pupillage training programme is applied consistently between pupils.

This function might be taken by the Management Committee in smaller PTOs.

Designated Pupillage Training Principal who is responsible for the effectiveness of

pupillage arrangements.

Pupillage policy in place that covers:

o The number and type of pupillages on offer

o Fair recruitment of pupils

o The roles and duties of pupils

o The roles and duties of pupil supervisors

o Funding/salary arrangements

o Payment for travelling expenses and compulsory courses

o The organisation of pupillage

o Record keeping during pupillage

o The method for fairly distributing work amongst working pupils


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o Procedures for providing pupils with an objective assessment of their

progress at regular intervals during pupillage

o Chambers/organisation’s complaints and grievance procedures

o Policy as to recruitment of tenants/employed barristers and those not taken

on as tenants/employed barristers

Internal control systems in place that ensure:

o PTO is approved by the BSB

o Pupil Supervisors are trained and registered with the BSB

o Pupillages are advertised, registered and signed off in accordance with BSB

requirements

Note

The process of being approved as a PTO includes ensuring there is an adequate

pupillage programme and pupillage policy document. PTOs that have been

grandfathered in without an authorisation process have not been asked to provide these

to the BSB before.

2. Fair recruitment

Risks:

4.4 Poor recruitment, retention and promotion practices: The risk that recruitment,

retention and promotion practices are unfair and do not support a competent and

professional workforce

5.6 Lack of diverse and representative training: The risk that those undertaking training

do not adequately reflect the diversity of the public.

Recruitment procedures should be in accordance with the BSB Handbook:

Vacancies for pupillages are advertised openly on the Pupillage Gateway.

Pupillage recruitment panel members have received equality/fair recruitment training.

Recruitment processes in place are based on objective and fair criteria.

Equality and Diversity data is collected and reviewed.

Good practice includes:

The selection process and criteria are set out in advance of recruitment.

All pupils are selected using the same procedure, questions and assessments.

A well-drafted and clear application form is used that draws out the ways in which

candidates fulfil the criteria for selection, rather than asking for the submission of a

CV alone.

All applications are acknowledged and candidates are notified of outcomes, for

example, if they are unsuccessful or if pupillage is no longer offered.

Where interviews or other parts of the selection process take place during term time,

PTOs treat sympathetically any request for an alternative date made by the applicant

for academic or other good reasons.

PTOs do not hold interviews at times when potential applicants are likely to be

preparing for and sitting exams.


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Where interviewees live some distance from the PTO, a contribution is offered

towards travel expenses through a clear written policy.

Written exercises are used to evidence analytical and written communication skills

that provide equal opportunity to those who have not undertaken a law degree.

Applicants are advised at interview when a decision is likely to be reached on their

applications.

Decisions on applications are taken by a panel, not one person alone.

A record is kept of decisions taken, with reasons given.

Feedback to unsuccessful candidates is offered.

Positive action is used to encourage applications from under-represented groups.

An offer of a pupillage is made in writing. Good practice is to include the following:

The date of commencement.

Details of supervision arrangements and the name of the first pupil supervisor. A

meeting is arranged before pupillage begins.

Details of the award to be made to the pupil.

Terms on which pupillage might be terminated

Offers remain open for at least 14 days.

3. Funding and resources

Risks:

1.7 Exploitation of pupils by PTO’.



of them.

5.4 The risk that prospective barristers are deterred from pursuing a career at the Bar

due to training being unaffordable.

Funding of pupillage should be in accordance with the BSB Handbook and the Pupillage

Handbook and guidelines, which have been set at a minimum standard to ensure

equality of opportunity. This includes:

Providing the minimum pupillage funding.

Reasonable expenses for travel, overnight accommodation and necessary training

courses.

Funding arrangements are set out in writing and clearly explained so that pupils know

when and how they will get paid or reimbursed for expenses.

Resources will vary according to size, but PTOs should ensure that they have adequate

resources to provide pupillage. This includes:

Sufficient space, with enough privacy, in the PTO to enable the pupil to shadow their

supervisor and to speak confidentially.

The pupil should have adequate access to case law and training materials. Not all of

these resources need to be onsite and proximity to an established library, such as in


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Inns of Court, can be sufficient. The PTO should consider whether it is practical for a

pupil to have to leave the premises to access the resources that they need.

The working environment should be appropriate and safe.

4. Delivery of pupillage training programme

Risks:

1.1 Inappropriate delivery of training: The risk that the delivery of training by PTOs is

inappropriate due to factors including (but not limited to) outdated delivery, excessive

cancellation of relevant sessions, provision of a poor service and staff who act

inappropriately.




1.9 Breach of regulatory obligations: The risk that pupils inadvertently breach the BSB

Handbook due to inadequate training with respect to regulatory obligations.



of them.

3.2 Lack of legal competence: The risk that as a result of inadequate training a barrister

lacks the necessary legal competence to perform their role.

3.3 Lack of cultural competence and people skills. The risk that due to inadequate

training barristers or other individuals engaged in the provision of services demonstrate a

lack of social or cultural insight, inter-personal communication skills or empathy.

3.4 Lack of financial competence: The risk that due to inadequate training provision a

barrister lacks the necessary competence to manage financial or administrative matters

appropriately.

The programme is structured and designed with sufficient breadth and exposure to other

barristers and staff in the PTO to cover the range of knowledge, skills and attributes set

out in the Professional Statement, Threshold Standard and Competences. This could

include:

Induction arrangements. This might include:

The PTO policies and practice

The PTO’s Pupillage Policy and other key policies and procedures.

The BSB Pupillage Handbook.

The BSB Handbook.

The supervisor’s and PTO’s practice.

The PSTS&C and the assessment process.

Roles and responsibilities of the pupil supervisor, the PTP and the pupil.

Introduction to members and staff in the PTO.

Standards.


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Exposure to barristers and lawyers other than pupil supervisors to broaden

experience or to keep the pupil engaged in active learning when the supervisor is not

engaged in case work.

Exposure to different practice areas.

Secondments are arranged where competences cannot be developed in-house.

Where this is the case, the quality of training is subject to oversight.

Development of the full range of skills and competences set out in the PSTS&C.

Administration of the organisation, for example:

Governance arrangements.

Functioning of the clerks’ room and/or other support functions. Do the members

of the clerks’ room and other staff have regular contact with the pupil?

Practice management and practice development.

The training programme provides equality of opportunity:

Fair access to work is monitored

All barristers and staff are aware of equality policies and procedures.

All pupils have equality and consistency of opportunity to develop their skills and

competences and build their practice in preparation for tenancy, regardless of which

pupil supervisor they are assigned to.

Pupils in the employed Bar have sufficient opportunity to develop the full range of

competences in the PSTS&C, including exposure to self-employed practice and

advocacy.

Adequate records are kept to support:

Monitoring of progress.

Application for provisional training certificate

Final sign-off from pupillage

5. Supervision arrangements

Risks:

1.1 Inappropriate delivery of training: The risk that the delivery of training by PTOs is

inappropriate due to factors including (but not limited to) outdated delivery, excessive

cancellation of relevant sessions, provision of a poor service and staff who act

inappropriately.

1.7 Exploitation of pupils: The risk that pupils are exploited by training providers, PTOs,

pupillage supervisors, for example through inappropriate work allocation, insufficient

feedback or poor treatment by supervisors.





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1.9 Breach of regulatory obligations: The risk that pupils inadvertently breach the BSB

Handbook due to inadequate training with respect to regulatory obligations.



of them.

4.5 Inadequate supervision: The risk that the pupil is inadequately supervised, resulting

in a lack of quality assurance, limited feedback or unfair allocation of work.

Pupil Supervisors receive appropriate training for their role and keep their knowledge

and skills up to date. This could include:

o Up to date knowledge and application of the BSB Handbook, the Pupillage

Handbook and the PSTS&C.

o Training and coaching skills, including ability to give appropriate feedback.

o Knowledge of equality and diversity rules in the BSB Handbook.

o Pupil supervisors network externally to maintain high standards.

o Skills are addressed through CPD plans.

Supervisors and pupils follow a structured programme that covers:

o Training and development in the full range of competences in the PSTS&C.

o Feedback mechanisms.

o Clear expectations about contact time with pupils to develop the skills necessary

for practice and to meet the required competences, both during the non-

practising and the practising period of pupillage.

o Clear expectations about the type of work that pupils are expected to do:

when not shadowing their supervisor

when not engaged in cases in the practising period of pupillage

Feedback mechanisms are appropriately structured, including:

o Frequency.

o Content.

o Records kept.

o Mechanisms for pupils to receive structured feedback from other barristers and

staff within the PTO, where relevant.

o Opportunity for feedback from the pupil.

o Where relevant, pupil supervisors hold review meetings with each other about

pupils to ensure consistency and quality of training within the PTO.


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6. Practice development and career opportunities after pupillage

Risks:

1.7 Exploitation of pupils: The risk that pupils are exploited by PTOs/pupillage

supervisors, for example through inappropriate work allocation, insufficient feedback or

poor treatment by supervisors.



of them.

4.4 The risk that recruitment, retention and promotion practices are unfair and do not

support a competent and professional workforce.

Tenancy/employment opportunities and processes are fair and transparent, and are

clearly explained to pupils.

For pupils in self-employed practice, there is equality of opportunity through fair access

to work during the practising period of pupillage (processes are in place to ensure

compliance with rule rC110 of the BSB Handbook) to enable pupils to develop their

practices.

The PTO’s flexible working policy extends to pupils.

7. Support and advice for pupils

Risks:

1.3 Inadequate handling of complaints about training: The risk that PTOs fail to deal with

complaints by prospective barristers.

1.6 Discrimination, victimisation, harassment or bullying within the provision of training.

1.7 Exploitation of pupils: The risk that pupils are exploited by PTOs/pupillage

supervisors, for example through inappropriate work allocation, insufficient feedback or

poor treatment by supervisors.






of them.


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4.4 The risk that recruitment, retention and promotion practices are unfair and do not

support a competent and professional workforce.

PTOs establish a culture where pupils, members of chambers and staff feel comfortable

to report unfair working practices and/or behaviours without fear of recrimination.

PTOs have processes to support pupils throughout pupillage to ensure that they are able

to raise concerns, formally or informally (eg. about their Pupil Supervisor, the quality of

training, their ability to meet the required competences, fair access to work, cases of

serious misconduct by others at the PTO). This may include:

Opportunities to provide feedback during appraisals.

Mentoring or buddy arrangements.

Peer support mechanisms with other pupils in the PTO.

Access to the Pupillage Training Principal.

Access to the Equality and Diversity Officer.

Transparent and fair processes for raising concerns or formal grievances.

Information about external sources of help.

Information about how to report serious misconduct to the BSB, either directly, or

with the support of others.

There is a fair and transparent process in place for complaints made against pupils.


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1. BSB Supervision Strategy

1.1 The BSB takes an evidence- and risk-based approach to supervision. This includes

supervision of pupillage arrangements in PTOs. Risk-based supervision:

Allows the BSB proactively to identify risks and take appropriate action to prevent

them from materialising or ensure that they are managed;

Encourages more effective risk management by chambers, authorised bodies

and other PTOs, and contributes to improvements in the level of compliance with

regulatory requirements;

Helps to prevent negative outcomes for consumers and negative impacts on the

regulatory objectives;

Provides a means of ensuring that non-compliance does not recur;

Allows the BSB to target its resources at those chambers, authorised bodies and

other PTOs that would benefit from supervisory attention; and

Provides the basis for constructive engagement between the BSB and those that

it regulates.

1.2 The BSB authorises and supervises PTOs to ensure that high quality professional

training is delivered to a consistent standard and that they are compliant with

regulatory requirements. In particular, PTOs must ensure that pupils have the

knowledge, skills and attributes, as defined in the Professional Statement, Threshold

Standard and Competences, that all barristers should have on ‘day one’ of practice.

1.3 Where issues are identified through supervision, the BSB will seek, where possible,

to address them with the PTO without resorting to enforcement action or withdrawal

of authorisation.

2. Supervision Visits

2.1 The Supervision Team's remit involves gathering information about PTOs from

multiple sources. This includes through supervision visits.

2.2 Supervision visits will usually be triggered as a result of other risk-based information,

in particular a High or Medium Risk assessment of the Supervision Return for High or

Medium Impact chambers, and/or other information that has been logged and risk

assessed by the Supervision Team.

2.3 The pilot visits will not be conducted on a risk basis. We want to pilot our approach to

supervising PTOs with a range of small and large providers, chambers and other

organisations, and a geographic spread. We are grateful to those PTOs who have

agreed to support the pilot.

2.4 During the visit, the Supervision Team review the key controls that are in place in

PTOs to manage the risks in relation to the key processes shown in Annex B. (Where

a visit is triggered by specific risk-based concerns, we may focus on certain areas).


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2.5 PTOs should prepare for the visit by gathering relevant policies, procedures,

monitoring reports and other records so that they are available to view during the

visit.

2.6 PTOs should provide copies of the following (where relevant) by email no later than

one week before the date of the visit (we will ensure confidentiality in accordance

with the BSB’s policies):

Pupillage Policy.

Pupillage Training Committee minutes for the last 6 months (or relevant minutes

from the Management Committee or equivalent).

Details of any pupil grievances or complaints.

Pupil contract.

Pupil training records.

2.7 The following people (or equivalent) should be available at the visit:

Pupillage Training Principal.

Head of the Pupillage Training Committee.

At least one Pupil Supervisor.

All pupils.

At least one junior barrister who recently completed pupillage.

2.8 The above-named people do not need to be present for the whole duration of the

visit. PTOs can schedule their attendance as appropriate.

2.9 The Supervision Team will also request a short tour of the PTO during the visit.

2.10 Visits last up to three hours and two staff from the Supervision Team attend.

2.11 BSB regulated persons are subject to Core Duty 9 in the BSB Handbook; this

requires you to be open and cooperative with your regulators. We expect that most

visits will be arranged and undertaken in the spirit of cooperation. However, if

required, the BSB will be able to invoke its power under rC70 of the BSB Handbook

to inspect premises and records. This power might be needed from the start of a

supervision visit or it may be invoked during or after a visit. The decision to use this

power, and the timing of its use, will depend on our assessment of the potential

seriousness and urgency of the situation.

3. Confidentiality of information that you provide to us

3.1 Supervision visits are not a part of the Professional Conduct Department's (PCD)

investigation functions. However, if we acquire information that suggests potential

serious misconduct, this information may be passed on to the PCD. It will be for the

PCD to decide whether to pursue an investigation. We will usually inform you if a

referral to the PCD takes place.

3.2 When exercising its regulatory functions, the BSB may be in control of various types

of private or sensitive information, including commercially sensitive information about


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PTOs; personal or sensitive information about individual barristers or their clients;

and documents which would be covered by legal professional privilege. The BSB is

under a range of legal duties to keep confidential the information in its control or

possession that is of a private nature. These duties restrict its powers to share data

with third parties. However, in exceptional circumstances where it is in the public

interest, information may be shared with other regulators or agencies.

4. Supervision risk assessment categories

4.1 Chambers, authorised bodies and other PTOs are classified, based on the

information that they provide, together with any other information available. The

Supervision Team has access to a range of information from other sources that

provides an indication of emerging risk or control/compliance failures that have

already happened, including:

Information referred from the Professional Conduct Department.

Information received directly from third parties. This could include members of the

public, barristers, staff in chambers and authorised bodies, and pupils.

Information available in the public domain.

Complaints data and other information provided by the Legal Ombudsman.

Information from other regulators. Information sharing protocols are in place with

the SRA, the Legal Aid Agency and the Information Commissioner’s Office. We

are in the process of establishing information sharing protocols with a number of

other regulators.

4.2 PTOs are categorised as follows:

High Risk

There is a significant probability that issues identified may have a fundamental

impact on the ability of Pupillage Training Organisations to ensure that high quality

professional training is delivered to a consistent standard, that they are compliant

with regulatory requirements and that pupils will have the knowledge, skills and

attributes, as defined in the Professional Statement, Threshold Standard and

Competences, that all barristers should have on ‘day one’ of practice. Immediate

action should be taken by to mitigate the risks identified. PTOs will be subject to

further monitoring by the Supervision Team as specified.

Medium Risk

A number of important issues were identified and PTOs should address these

promptly in order to ensure that high quality professional training is delivered to a

consistent standard, that they are compliant with regulatory requirements and that

pupils will have the knowledge, skills and attributes, as defined in the Professional

Statement, Threshold Standard and Competences, that all barristers should have on

‘day one’ of practice. PTOs should report progress to the Supervision Team as

specified.


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Low risk

We are satisfied that the PTO is able to ensure that high quality professional training

is delivered to a consistent standard, that they are compliant with regulatory

requirements and that pupils will have the knowledge, skills and attributes, as defined

in the Professional Statement, Threshold Standard and Competences, that all

barristers should have on ‘day one’ of practice. Some issues where controls could be

strengthened may have been identified and these should be followed up by the PTO.

No further monitoring by Supervision is planned unless other information comes to

our attention.

5. Working with PTOs to address supervisory concerns

5.1 Through our assessment process, we may identify areas of concern where

controls need to be strengthened and actions are required to address this.

Wherever possible, we will agree any actions required during the visit. The

Supervision Team will provide a follow-up written report to the PTO addressing

such matters as we consider appropriate.

5.2 Actions are categorised as follows:

Priority 1: for immediate action

Areas of high risk where further information is required by the Supervision Team

immediately in order to provide assurance that the risk is being managed

effectively.

or

Areas of high risk where the Supervision Team requires an update immediately

should circumstances change or as further information is received which

increases or reduces the level of risk.

Priority 2: urgent

Matters where a high risk and weaknesses in controls have been identified and

urgent action is required to mitigate the risk. The Supervision Team would

normally expect the PTO to address these issues immediately and provide a

follow-up to Supervision within 2 weeks.

Priority 3: important

Matters where a medium to high risk and weaknesses in controls have been

identified and prompt action is required to mitigate the risk. The Supervision

Team would normally expect the PTO to address these issues and provide a

follow-up to Supervision within 1 month.

Priority 4: merits attention

Other areas where controls could be strengthened. There is no expectation to

report to the Supervision Team on follow-up of these findings, but they should be

followed up by the PTO.


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6. Follow up of agreed actions

6.1 Where we make suggestions for improvement, we would usually expect PTOs to

cooperate with us in addressing those suggestions. We may also engage in

follow-up supervision visits.

6.2 We would expect that the PTOs risk rating should improve as a result of following

up actions satisfactorily.

7. Referrals to the Professional Conduct Team for enforcement action or to the

Authorisations Team for withdrawal of approved status as PTO

7.1 The intention is to address most concerns, including non-compliance, through the

Supervision process.

7.2 Supervision visits by the Supervision Team are not a part of the PCD’s

investigation functions. The Supervision Team will only refer a matter about a

regulated person to the PCD to pursue enforcement action in the following

circumstances:

o If a PTO has not satisfactorily addressed non-compliance within a reasonable

period of time;

o If the PTO concerned has a poor history of compliance and engagement with

the Supervision Team such that it is unlikely that it would take the opportunity

to address the issue;

o If we acquire information that suggests potential serious misconduct, this

information may be passed on to the PCD. It will be for the PCD to decide

whether to pursue an investigation.

7.3 The Supervision Team will only refer a matter to the Authorisations Team to

pursue withdrawal of Approved Pupillage Training Organisation status if it

considers after investigation that pupillage training provided by the organisation is

or has been seriously deficient or that the organisation has not made proper

arrangements for dealing with pupils and pupillage in accordance with the Code

of Conduct.

7.4 We will usually inform PTOs if a referral to the PCD or the Authorisations Team

takes place.

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