Insight: SIFA Professional – “Is existing continued professional development process still fit for purpose”?
A SRA Policy Associate made the above remark during his presentation at the COLP & COFA Conference held last year. This was following the release a few months ago of the SRA annual evaluation of ongoing competence report. The emphasis is clearly on assessing whether lawyers and COLPs are successfully keeping their skills and knowledge up to date. For the SRA, which is under scrutiny from the Legal Services Board, the priority is ensuring high-quality legal services and fostering consumer confidence and trust in the profession —something we all strive for.
Moreover, it’s evident that maintaining competence isn’t solely the responsibility of individual lawyers; firms must also play a role in providing supervision and support,- “Requiring solicitors in our ‘Code of Conduct for Solicitors’ to maintain their competence. Firms we regulate are also required in our Code of Conduct for Firms to make sure solicitors they employ keep their knowledge and skills up to date.”
The broader challenges
The 2024 assessment marks the second annual evaluation of the profession in this field. This year’s report is primarily driven by consumer complaints, which unfortunately rose by over a thousand, reaching a total of 11,174. Additionally, it incorporates insights from the SRA’s thematic reviews and training record evaluations, along with input from stakeholders and representative organisations that the regulator has consulted. It is clear that this assessment warrants serious attention, especially given the evidence gathered from broader SRA regulatory efforts, including their horizon scanning initiative aimed at identifying emerging trends and developments.
The report highlighted notable improvements in various sectors in 2023, yet it also revealed troubling trends in areas like conveyancing and immigration, where complaints have risen. The SRA noted, ‘Using this data, and information from our wider work, we identified Family and Landlord and Tenant law as areas where we want to explore in more detail if and how solicitors practising in these areas are maintaining their competence.’ Alarmingly, complaints in family law surged by 25% compared to the previous year.
Moreover, the report shed light on the broader challenges some solicitors encounter in fulfilling their duty to maintain public confidence. It pointed out that some solicitors are concentrating solely on enhancing their technical legal knowledge, neglecting other essential areas of development. The regulator has made it clear that they are taking this matter very seriously.
The report outlines various strategies for monitoring the legal profession, including assessments of how firms, particularly COLPs, are structuring training for their teams and overseeing their professional competence. For individual solicitors, the SRA will be scrutinising training records to ensure that they are engaging in continuous learning and development, reflecting on their needs regularly. Additionally, they will conduct ‘spot’ checks following the renewal of solicitors’ practicing certificates. In essence, both firms and individuals must prioritise ongoing competency and integrate it into their strategic planning.
COLP & COFA Conference 2024 – Repeating the message…
The message of continued professional development was reiterated yet again by Richard Williams, Policy Associate at last year’s SRA COLP & COFA Conference in November. The same message was provided to the delegates, that really mirrored the one provided in 2023, which does beg the question, are COLP’s getting the message across to their firms about the need to address this issue? Mr Williams spoke about the annual report and made several statements regarding monitoring of professional development and looking to “significantly strengthen the annual declaration” and even review “the existing process to see if it is still fit for purpose”?
Joined-up advice for your clients
The SRA emphasizes the often-overlooked importance of ongoing competence in areas supporting direct legal advice, where financial planning colleagues can significantly contribute. They can assist with cash-flow forecasting in divorce cases, tailor support for vulnerable clients, and enhance your legal services.
We encourage you to connect with your financial planning partners, who are eager to help identify your learning needs in non-legal areas and provide valuable training resources. If your partner is a SIFA Professional member, they can offer complimentary monthly training webcasts on topics at the intersection of legal and financial matters in family law.
This is a great opportunity for collaboration between the legal and financial planning sectors, benefiting both your clients and your firms.
Pat Seaward
Business Relationship Manager, SIFA
Professional
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