SRA Continuing Competence Consultation
On 22 April the SRA launched a consultation on proposals to strengthen its approach to continuing competence, marking the most significant potential change to the post qualification learning framework since mandatory CPD hours were abolished in 2016. The consultation runs for 12 weeks, closing on 15 July.
The SRA accepts that most solicitors comply with the current requirements and remain competent, but says monitoring and recent assessments indicate that the framework is not delivering consistent assurance across the profession. In particular, it has identified shortcomings in record keeping, meaningful reflection, and engagement with ethical learning.
It is not proposing a return to mandatory CPD hours, but to address the issues it has identified, it is consulting on three core proposals:
- A requirement for all solicitors to keep a formal record of how they have identified and addressed their learning and development needs, which would move record keeping from recommended good practice to a regulatory requirement, with an annual declaration to confirm compliance.
- Introducing a minimum of three hours mandatory annual ethical discussions, around ethical dilemmas and professional challenges, which the SRA considers a practical way to strengthen ethical awareness and decision making, particularly in complex or pressured environments.
- Enabling the SRA to require targeted learning and development where concerns about a solicitor’s competence are identified, as well as the ability to impose the same requirements on non-authorised people within a SRA regulated organisation where there’s concern about competence.
The proposal for mandatory ethical discussions is interesting and likely to raise questions/comment. The sessions would be group based, involving a small number of participants, and facilitated by a suitably experienced solicitor, working through decision making processes, testing judgment against the Codes of Conduct and regulatory guidance, and exploring how ethical risks are identified and managed in day to day practice. If implemented properly, this could represent a meaningful shift away from passive ethics training towards more reflective, peer led learning – though firms will need to ensure these discussions are embedded into existing supervision and risk frameworks, rather than treated as a standalone compliance exercise.
The proposals are likely to have practical implications for supervision, training structures and evidence gathering. While many firms already operate systems that meet or exceed the proposed standards, others may need to formalise processes, particularly around ethics and reflective learning.
MLS Regulatory Committee will be considering the consultation and intends to submit a response on behalf of members. If you have any views, concerns or practical insights arising from the proposals, please get in touch.
How Compli can help…
The Compli Solicitor Regulatory and Professional Discipline Team can provide expertise and advice on risk and compliance, AML, disciplinary assistance etc. If we can help in any way, please get in touch at [email protected]