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Authorised Training Principal regulations

Regulations

Effective: 29 May 2014

Update History

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Authorised Training Principals must meet and comply with certain conditions before and during the training agreement.
  1. A person shall be approved as an Authorised Training Principal only if and so long as only if and so long as they initially and periodically thereafter satisfy the Committee that they can provide appropriate supervision of the provisional member's practical experience and such other requirements as the Committee may from time-to-time determine.
  2. Subject to regulation 3, the Authorised Training Principal shall:
    1. be a member of at least two years' standing of a body agreed by the Committee to be a nationally recognised professional accountancy body;
    2. hold an appropriate managerial position within the organisation in which the provisional member is employed;
    3. comply with the conditions and expectations set by the Training Standards or otherwise notified by ICAEW in writing; and
    4. have access to an Advisor if not an ICAEW member.
  3. The Committee may in its absolute discretion permit an individual who does not meet the criterion in 2(a) to be an Authorised Training Principal if it considers they have sufficient experience and seniority to discharge the responsibilities of an Authorised Training Principal and meets the requirements of regulations 2(b-d).
  4. The Committee shall:
    1. give or withhold authority to a person applying to become or to remain an Authorised Training Principal;
    2. determine the maximum number of provisional members that an Authorised Training Principal may at any one time have responsibility for provided such number does not exceed four;
    3. impose such conditions, restrictions or barriers on authorisation as the Committee in its absolute discretion considers appropriate ;
    4. determine the maximum number of Authorised Training Principals in any organisation at any time;
    5. determine the maximum number of provisional members training under Authorised Training Principals permitted at any time in any organisation provided that such number does not exceed 12.

Change in circumstances

  1. An Authorised Training Principal shall notify the Learning and Professional Development department of ICAEW in writing of any material change in his situation or that of the organisation in which a provisional member, for whose training they have or will have responsibility, is or is expected to be employed which may affect its ability to meet the Training Standards referred to in regulation 2(c).
  2. The Committee satisfy itself following notification of changes pursuant to regulation 5 that an Authorised Training Principal can continue to satisfy the requirements of regulation 1.
  3. An Authorised Training Principal shall promptly notify ICAEW of the following occurrences and shall provide such information relating thereto as the Committee may require in respect of provisional members for whose training they have responsibility:
    1. an extension to the period of approved training pursuant to regulation 14 of the ACA Student Regulations;
    2. the cancellation of the provisional member's training agreement or period of approved training pursuant to regulations 14 or 15(a); and
    3. the start and end dates of any period of suspension.
  4. Where an Authorised Training Principal or provisional member for whose training the Authorised Training Principal has responsibility has been the subject of an order under Disciplinary Bye-laws 16 or 22 or under the Insolvency Regulations, Audit Regulations or Designated Professional Body Handbook the matter shall be referred to the Committee which shall decide whether or not to take further action under regulation 6.

Status of adverse decisions pending appeal

  1. An adverse decision made under regulations 3 - 6 or 9, shall remain in abeyance until:
    1. any period for giving notice of appeal has expired; and
    2. in the event that notice of appeal is given, until the Appeal Panel (and, if applicable, the Appeal Board) has communicated its decision in writing, to the appellant.

Training Agreement/Period of Approved Training

  1. The training agreement shall contain mandatory clauses at the insistence of ICAEW which may not be altered or removed save with the consent of the Committee.
  2. A training agreement shall be executed on or before the date on which approved training is to commence.
  3. ICAEW may at any time request a copy of the training agreement between the provisional member and the Authorised Training Principal and the Authorised Training Principal must provide such copy within 15 working days.
  4. A provisional member based within the UK shall become a member of a Chartered Accountant Students' Society at the start of the training agreement and shall remain a member through approved training and until eligible for membership.
  5. Subject as hearing provided:
    1. a training agreement shall be suspended if an order to that effect is made by the Disciplinary Committee under Disciplinary Bye-law 22 (7) (b) or (c);
    2. a training agreement shall be suspended due to the provisional member's absence (which shall otherwise count as approved training under regulation 12 of the ACA Student Regulations) because of:
      1. maternity leave;
      2. prolonged illness (with reference to regulation 13 of the ACA Student Regulations, typically more than four consecutive weeks), in which case the Committee may deem the suspension to have commenced from the onset of such illness;
      3. any other circumstances that the Committee in its absolute discretion considers acceptable.
    3. a training agreement which commenced during the placement of a provisional member undertaking a sandwich course shall be deemed to be suspended from the date on which such placement or placements end until the date of the provisional member's resumption of approved training following the completion of that course.
  6. A training agreement shall be cancelled in the following circumstances
    1. by mutual agreement between the parties thereto; or
    2. by one party giving written notice to the other in accordance with the relevant clause in the training agreement.
  7. A training agreement shall be automatically cancelled:
    1. when the employment of the provisional member named in the training agreement is ended in circumstances where continuity of employment is not preserved under current legislation; or
    2. with effect from a date which shall be determined by the Committee, if the Authorised Training Principal ceases to be authorised under regulation 1; or
    3. if the provisional member is declared unfit to become a member by the Disciplinary Committee under Disciplinary Bye-law 22 (7) (a).
  8. No period at an Authorised Training Principal or other approved training environment in which the provisional member received fewer than 65 days practical work experience shall count as approved training.
  9. A provisional member whose previous training agreement was cancelled under regulation 15 or was automatically cancelled under regulation 16(a) shall normally be permitted to enter a further training agreement or period of approved training provided:
    1. the provisional member's suitability to resume approved training has previously been confirmed to the Committee by their last Authorised Training Principal; and
    2. the provisional member is eligible to sit ICAEW examinations or has passed such examinations

    save that the Committee may waive this regulation in such circumstances as the Committee, in its absolute discretion, considers to be acceptable.

  10. A provisional member whose previous training agreement or period of approved training was automatically cancelled under regulation 16(c) or under the Authorised Training Employer Regulations shall not be permitted to enter a further training agreement.
  11. A provisional member who resumes approved training under regulation 18 shall, subject to regulation 21, complete a further period of approved training which, when combined with the provisional member's previous period(s) of approved training, shall satisfy the requirements of regulations 3, 4, and 8 of the ACA Student Regulations.
  12. If there has been a period of more than two years in aggregate since the provisional member first commenced approved training in which:
    1. the current training agreement was suspended; or
    2. the provisional member was not receiving approved training due to the suspension and/or cancellation of a previous training agreement or period of approved training

    the provisional member will be required to complete such additional period of approved training under a training agreement and with such practical work experience as the Committee shall from time-to-time determine.

Powers of variation

  1. The Committee shall have the power to vary or waive these regulations.

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  • Update History
    22 Jan 2014 (12: 00 AM GMT)
    Page published
    19 May 2014 (12: 00 AM BST)
    This version effective
    28 Aug 2024 (12: 00 AM BST)
    Page template changed