Conveyancers - Are you on top of your Learning and Development game?

With conveyancers increasingly talking of their work becoming more and more complex and regulatory and economic pressures showing little sign of abating, now is perhaps the ideal time for firms to grasp the nettle and ensure they are doing all they can do to foster a knowledgeable and proficient workforce who are well equipped to handle whatever comes their way. 

Pain points for conveyancers

Looking at the 25 suggestions to improve the home buying and selling process compiled by the Bold Legal Forum with input from its conveyancer members in January 2023, whilst some suggestions inevitably need a collaborative approach to be taken with third parties,  a number of the ‘pain points’ identified could potentially be alleviated by firms improving their approach to learning and development. Taking a few examples:

Reduce the backlog at HMLR:

Firms can work with HMLR to help to reduce wait times by ensuring staff are trained on best practice regarding HMLR application forms and procedures are put in place to check both straightforward and more complex application forms before submission to reduce the likelihood of avoidable requisitions being received (coincidentally, this is a new CPMS requirement at section 7.4 a)).

Make ID and anti-money laundering checks more practical:

It is easy to forget that the Anti Money Laundering Regulations require a risk-based approach to be taken and the extent of the checks carried out to depend on the level of risk assigned to the individual client and to the transaction. Simplified due diligence may be applied in certain low risk matters (provided this is permitted under the firm’s practice wide risk assessment), for example where the client is a public company listed in the regulated market, which does away with the need to obtain details such as the names of the company’s directors and those relating to beneficial owners. It is important that staff responsible for carrying out AML checks receive thorough training on the application of the Regulations and take a focused, risk-based approach to ensure the process runs as efficiently as possible.

Greater use of electronic signatures:

One reason why e-signatures are not used as widely as they could be is likely to be because of a lack of understanding as to when and how they can be used in place of a paper based approach and concerns as to the associated risks. These issues may largely be addressed by staff undergoing training to become better informed on the topic. Access Legal recently released a webinar on E-Signatures – Are you on board? within our GRC for Law Firms catalogue which may be of interest on this front.

CPMS requirements

Turning specifically to the CQS requirements on L&D at section 4.1 of the CQS Core Practice Management Standards (‘CPMS’) effective from 01.05.22. These require that firms have a learning and development policy which includes mandatory content across several areas. Yet having this information in the policy is only the first step towards compliance. The key is to ensure that each aspect is fully implemented into the day-to-day working of your firm’s conveyancing department. Here we look at the practical steps that firms can take for each requirement to ensure they are fully compliant:

Ensuring that appropriate training is provided to personnel:

CQS accredited firms should set down mandatory training requirements for all fee earners and relevant support staff working in the conveyancing department to ensure they are well informed on all key areas. The CQS Scheme Rules refer to Relevant Persons as ‘All persons who are managers, Qualified Conveyancers, Non-Qualified Conveyancers, Key Support Staff, Accounts Staff and Locums.’

It is not sufficient, therefore, for solicitors alone to receive training; all fee earners running their own caseload and relevant support staff who undertake key tasks such as AML checks and post-completion administration need to have a full understanding of property law and the requirements of the CQS accreditation applicable to their role. Examples of what this should include are:

• the CPMS – staff need to be aware of its existence and the ways in which the firm complies with its requirements to ensure that standards are complied with and maintained.
• the Law Society Conveyancing Protocol – staff should be aware of, understand and follow the Protocol wherever possible.
• the latest guidance, articles and case law relating to residential conveyancing, client care and risk management – this can be done through such means as the Law Society resources on conveyancing, news articles on Today’s Conveyancer, The Law Society Gazette and Legal Futures websites, participating in the Bold Legal Group forum and attending conveyancing related webinars hosted by Access Legal.

The above is in addition to the core and update CQS training courses which need to be completed on an annual basis (of which the Access Group is the only other authorised training provider aside from the Law Society itself).

Firms have flexibility as to how training is delivered to staff – options include holding regular mini-team briefings, regular email updates or programmes of bite-sized online e-Learning courses. It is worthwhile taking the time to understand individuals’ learning styles and adapting training accordingly to foster more productive learning. Training should be tailored to individual job roles where possible, and  training undertaken by solicitors should be tracked and monitored in a way that demonstrates compliance with the SRA’s competency requirements.

Firms should also not forget the value of staff who have worked in conveyancing for many years, who have much to share by way of knowledge and experience with newer recruits and should ensure these staff are supported and encouraged to take on mentorship roles. Also consider wider reaching initiatives such as making sure the firm is menopause friendly.

Ensuring that all supervisors and managers receive appropriate training:

Role specific training should be a mandatory requirement for all managers and supervisors within the conveyancing department to help them to further their management and supervisory skills, with the flexibility for further support to be requested at any time. It should not be taken as a given that a staff member in a supervisory or managerial role has the necessary expertise to lead their team. Consider the importance of mental health training for line managers, as well as management skills specific training. Access Legal is releasing an updated mental health course for legal managers, as part of our GRC for Law Firms catalogue in 2023.

A procedure to evaluate training:

One way to do this is by requiring a training feedback form to be completed by all staff in the conveyancing department every time they complete a training course or undertake a sizeable amount of training. The completed forms should be sent to a relevant person (such as the Training Manager) who is responsible for reviewing the effectiveness of training and development activity within the department on at least an annual basis.

The annual review should include a review of the training feedback forms, the resources committed to training, the benefits of the training and development undertaken by staff and the expected contribution to the achievement of the department’s goals and objectives, as well as consideration as to any changes that should be made to the learning and development approach to maximise the benefits. It would be sensible for the firm’s Senior Responsible Officer (‘SRO’), as the person accountable to the Law Society on behalf of the firm under the CQS Scheme, to have oversight of the outcome of the annual review and to work with the Training Manager to address any identified training issues.

A learning and development plan for all relevant persons, ensuring that relevant persons stay up to date in residential conveyancing, client care and risk management:

Firms should ensure that a learning and development plan is in place for all staff within the conveyancing department, which are discussed and completed as part of the appraisal process, at the very least, and ideally are kept updated at regular intervals. A template learning and development plan which is based on the SRA’s template and therefore compliant with the SRA’s continuing competence requirements can be found in Access Legal’s template Learning and Development Policy resources within the Policies and Precedents for Law Firms library.

Ensuring that personnel are aware of the CPMS and the Law Society Conveyancing Protocol and the ways in which the practice complies:

Compliance with this requirement has largely been covered in section a) above. One way to do this is to set out the mandatory training requirements for those working within the conveyancing department in a document which accompanies the firm’s learning and development policy, as we have done in the appendix to Access Legal’s template Learning and Development Policy.

Ensuring CQS mandatory training is completed on time:

CQS core training must be completed by all relevant staff within 6 months of the firm being accredited and by all new relevant staff members within 6 months of joining the firm. Update courses must thereafter be completed by all relevant staff members (who have previously completed the core training) within 6 months of the firm being re-accredited. These timescales are mandatory and adherence to them should be encouraged by line managers and supervisors and overseen by the firm’s SRO.

All in all, compliance with the CQS learning and development requirements requires forward planning and a diligent, collaborative approach, however the benefits of doing so surpass compliance with the accreditation alone and make good business sense for the long-term success of the firm’s conveyancing department.