Are you keeping on top of Continuing Competency?

SRA’s Continuing Competency

The continuing competency approach was introduced by the Solicitors Regulation Authority (SRA) in 2016, and replaced the CPD system which required solicitors to accrue at least 16 hours of training; this approach was seen by some as a ‘tick-box’ exercise, with some training providers citing examples of solicitors turning up to courses just to register and then leave, and others sitting at the back of the room reading papers or doing something other than focusing on the course!

The continuing competency approach was introduced with the aim of getting solicitors (and their firms) to assess their training needs, plan and undertake appropriate training, reflect on what they had learnt, and assess whether this had met the aims and objectives set out at the start.

Concerns were aired at the time the new approach was introduced, with some saying that firms would use it as an opportunity to cut training costs; others said that firms would continue to take a ‘tick-box’ approach by just confirming on their annual practising certificate renewal form that they had met the continuing competency requirements.

As with other areas of compliance, some solicitors/firms still hold the view that the answers they give to regulators will not be checked. However, the current thematic review that is being carried out by the SRA on anti-money laundering is a good example of where the SRA will be checking that what COLPs have said their firms are doing to comply is in fact true.

The Legal Services Board (LSB) has had reservations about the effectiveness of the continuing competency approach, which is why it is now calling for evidence into it; this could lead to formal periodic reaccreditation for solicitors being introduced, which would bring them in line with other professionals like doctors, nurses, teachers, etc.

Negligence

We have seen numerous examples of negligence across all areas of law, for example, poorly drafted wills, advising on tax avoidance schemes which are clearly questionable, failing to handle property matters as required, etc. We have also come across a number of cases where senior partners have not been challenged by their fellow partners over what they have been doing and this has led to numerous claims coming out of the woodwork after they had retired.

A real concern is where solicitors who know they have been negligent leave before they are caught, knowing that most firms do not provide references; in some cases, solicitors with track records of negligence have become locums so they can just keep moving from one firm to another leaving problems in their wake!

This begs the question, “Should firms be obliged to provide complaints/claims information to firms taking on ex-employee solicitors?”; we will leave that one out there for regulators to consider!

Steps you can take to ensure the continuing competence of solicitors:

• Implement an effective approach to continuing competency
• Provide training that is appropriate to the work being undertaken by each solicitor
• Carry out risk-based file audits
• Ensure appropriate ongoing supervision of client matters is undertaken for all solicitors, including partners
• Review complaints/claims data at least annually and act on its where appropriate
• Carry out regular 1-2-1 discussions with solicitors
• Make appropriate reports to the SRA where serious breaches and/or misconduct is found so firms can then review solicitors’ disciplinary records as part of their recruitment processes

How we can help

We can provide you with the tools you need to operate an effective continuing competency programme, for example:

• A learning management system that can help you track continuing competency
• An online training library
• A file audit module that enables you to track compliance on client matters
• An independent file audit service
• An HR system that can help you track supervision/disciplinary processes
  
  

Find out how Access LMS can help you with regulatory compliance and competency.