Free On-Demand Webinar – CPD Changes: Are You Prepared?

Less than a year remains before the SRA’s new approach to continuing competency becomes mandatory. This webinar will demystify the regulations for solicitors, compliance officers, L&D departments and managers.

Are you debating when to adopt the new approach?
After this webinar you will have a clear understanding of the tools and next steps required for a successful transition. The webinar will include:

  • Best practice
  • Case studies
  • SRA guidance
  • Practical advice

Watch the course now

This recording is provided free of charge. If you found it valuable, feel free to forward it to a colleague.

Explaining The SRA’s new approach to CPD and continuing competence

Over the past year, we have written a series of posts on the SRA’s new approach to CPD. We have consolidated the key points into the presentation below:

Download the presentation

Julie Brannan, Director of Education and Training at the SRA sums up the new approach as follows:

The new approach has competence at its heart. Individual solicitors and firms will be in the driving seat. They will need to think about what they should do to ensure that their work is up-to-date and competent. They will be able to choose how best to do this.

There will be more flexibility about how people learn. For example, it will no longer be necessary to learn in hour-long blocks. People who prefer to learn in bite-sized chunks, perhaps over their phone or tablet, on the go, will be able to do so. People who learn through reading and researching for a particular case will be able to have that recognised as part of their learning and development.

SRA finally announces language of annual declaration for new approach to CPD

After a long wait, in October 2015 the SRA finally published the wording for the annual declaration required under its new approach to continuing competence:

“I have reflected on my practice and addressed any identified learning and development needs.”

Practising Certificate Renewal Exercise (PCRE)

The declaration is made on the Practising Certificate Renewal Exercise (PCRE) forms. Either individual solicitors, or entities who complete the PCRE in bulk, can make the declaration.

The SRA will monitor PCRE forms to identify those solicitors who have not confirmed that they have reflected on their practice and addressed learning and development needs. They will use this information, along with other information they hold or receive, to explore concerns that they may have with the competence or standard of service provided by a solicitor.

Solicitors who have chosen to move to the new approach this year will make their first declaration (for the 2014-2015 practice year) in October 2016. In October 2017, there will be no declaration required for 2015-2016 as the SRA shifts to align the declaration with the current PCRE year. In that year a declaration will be required by all solicitors for the new approach for the 2016-2017 year. Despite the fact that no declaration will be required for the 2015-2016 year, this does not remove the regulatory responsibility for all solicitors either to comply with the old approach by doing 16 hours of CPD or to adopt the new approach.

As a reminder, under the new approach, a solicitor must: Continue reading

Changes to CPD explained in two templates

As we have reported previously, our poll found that over 50% of solicitors plan to transition to the new approach to continuing competence before it becomes mandatory on 1 November 2016.

The SRA has published a toolkit with detailed guidance on how to comply with the new approach. However, some of the information is confusing. We have chosen to highlight two short documents that explain most of the requirements at a glance.

Under the new approach, you must:

  • Reflect on the quality of your practice by reference to the Competence Statement
  • Plan and address learning and development needs based on the reflection
  • Record and evaluate the learning activity
  • Make an annual declaration to confirm you have completed the above

The following two templates from the SRA clarify what is required Continue reading

Poll results: when are firms changing to new CPD?

On 2nd April we asked our clients when they plan to adopt the SRA’s new approach the CPD. Here are the results.

results: April 2015: 24 percent, Nov 2015: 27 percent, Nov 2016: 24 percent, have not decided: 18 percent, individual solicitors: 8 percent

These results are comparable to the SRA’s own internal poll which found that 25% of firms would adopt the new approach as of 1 April 2015.

This was the first of a series of polls we will conduct to benchmark how the industry is adapting to the SRA’s changes.

The post CPD era is here!

The SRA released the latest version of its handbook on 1 April 2015. Among the important changes is the final Competence Statement, which is the cornerstone of the new approach to CPD and can be adopted starting today.

The new approach will be implemented for all solicitors from 1 November 2016. However, solicitors can choose to move to this new approach today (for 2015), or on 1 November 2015 (for 2016).

Where can you go for guidance on the new approach?

The SRA has also published a toolkit with detailed recommendations for compliance with the new scheme. The recommended process is as follows:

Here at VinciWorks we are putting the final touches on a platform to streamline your transition to the new framework. It will be built into our Learning Management System. We’d love to hear from you what your thoughts and plans are for the new CPD scheme. Recommendations that we hear now will be considered for the final product.

Legal Services Board approves SRA changes to CPD

On Monday 9th February, the LSB finally approved the SRA’s new approach to CPD, announced 21st May 2014.

In a letter — sent to Paul Philip, Chief Executive of the SRA, and buried on the LSB website — LSB Chief Executive, Richard Moriarty writes:

Please find enclosed our final decision notice granting the SRA’s application for approval of changes to regulatory arrangements relating to continuous professional development (CPD) and other miscellaneous changes.

The changes have been approved in full. The LSB welcomes the move from a prescriptive regulatory arrangement for CPD, currently based on arbitrary hours, to a more outcomes focussed framework that places responsibility on firms and solicitors to manage their continuing competence. We recognise that this policy has been the subject of lengthy review, development and consultation by the SRA.

Whilst supporting the SRA’s overall aim, we are also mindful that the intended benefits will only be fully realised if the new arrangements are effectively implemented. We would like to make two observations in this respect.

First, we were pleased to see that the SRA will be putting in place active review and evaluation processes, including for the opt-in period. As the SRA has acknowledged, the change is a big cultural shift for the SRA’s regulated community. In addition, the Legal Services Consumer Panel has said that the effectiveness of the approach in delivering competent services will depend on the capability of the SRA’s monitoring and supervision framework. It is therefore essential the SRA is able to know how well the changes are working in practice and to address any emerging issues both at a macro level and at the level of individual solicitors and firms.

Second, we welcome that the SRA’s post-implementation review will look at cost impacts on solicitors and firms. While outcomes focused measures generally help to reduce unnecessary burdens for business, it is important that these changes are supported by clear and effective communication to minimise any indirect costs that might arise for the regulated community from any uncertainty and confusion.

What are the important changes to the regulations?

Regulation 3.1 of the SRA Training Regulations 2011 Part 3 – CPD Regulations shall be amended as follows:

You must:
(a) undertake 16 hours of CPD during each complete CPD year in legal practice or employment in England and Wales; or

(b) consider and undertake the learning and development you deem necessary to ensure your ongoing competence and that you are in a position to provide a proper standard of service to your clients.”

For these purposes, the SRA has also amended the guidance note to regulation 8 to define what constitutes CPD under the new scheme:

(a) structured training, coaching or mentoring sessions;

(b) live or recorded webinars;

(c) writing onlaw or practice, for example law books,journals, publications for clients, client ‘s own publications, newspapers and magazines, online or in print:

(d) structured work shadowing schemes with clear aims and objectives and requiring feedback or reflection on the activity;
(e) research which relates to legal topics or has relevance to the practice/organisation which results in some form of written document, precedent, memorandum, questionnaire/survey etc;

(f) study for or production of a dissertation counting towards a qualification recognised by us;

(g) watching DVDs,webcasts, podcasts, television broadcasts or videotapes and/or listening to audio podcasts,radio broadcasts or audio tapes produced by learning and development providers;
(h) work towards the Qualification Credit Framework (QCF) awards relating to assessment,verification and/or quality assurance of competence-based assessment models (such as, for example, National Vocational Qualifications);

(i) participating in the development of specialist areas of law and practice by attending meetings of specialist committees and/or working parties of relevant professional or other competent bodies charged with such work;

U) work towards the achievement of an National Vocational Qualifications in any business-related area and at any level;

(k) study towards professional qualifications .

These activities can be completed face-to-face or by distance learning, where appropriate.

Click here to review the full list of changes to the regulation.

What is the timeline?

The new framework will be fully introduce with an opt-in period that will commence 1 April 2015, whilst the full changes will only go into effect in 1 November 2016. During the opt-in period solicitors and firms can choose to continue with the current 16-hour scheme (without the 25% requirement), or use the new scheme. Solicitors will be required to make a declaration when renewing their Practising Certificates in October 2015 that they have either undertaken 16 hours of CPD or that they have opted in to the new arrangements and ensured that they are competent.

A Competence Statement for Solicitors (on which the SRA recently consulted) will act as guidance to solicitors for CPD purposes. It is the SRA’s intention to publish this
on 1April 2015 when the ‘opt-in’ phase commences. The SRA has stated that it does not expect many solicitors to take up the opt-in opportunity until the start of the CPD year from 1November 2015, when the Competence Statement will have been available for several months. The LSB consider it important that solicitors who choose to opt-in are provided with as much support and guidance as possible and have the Competence Statement available to them.

VinciWorks’ Competency Frameworks

VinciWorks has prepared for these changes by introducing a flexible framework in LMS Enterprise that accommodates the SRA’s new competency based approach to training. It allows firms to define competency goals for various individuals, based on their position, builds tailored curriculum and tracks compliance. It allows individuals to reflect on their learning and produce annual competency statements to the SRA.

CPD changes- Are you Prepared?

The SRA’s new scheme increases the need for a centralised compliance management system.

On 9 June 2014, the Legal Services Board (LSB) approved changes, proposed by the SRA, to the current CPD scheme, removing the requirement for solicitors to complete a compulsory 16 hours’ training per year.

CPD is not going away:

There have been fears that the proposed changes will be interpreted as an end to the regulatory burden of training, and that firms will discontinue existing training programmes. That is not so. When announcing the proposal, the SRA underscored the value that it places on training and on “training systems” by saying:

“We consider it highly unlikely that an individual or entity would be able to deliver competent services over time without undergoing appropriate professional development. We would hold entities and individuals to account for ensuring the competence of the services they provide…

Where we engaged with an entity or individual regarding a regulatory matter, or where we had evidence of incompetence, the fact that the entity did not have sound education and training systems in place or that the individual could not demonstrate that they had undertaken regular development planning or activity, could be a factor in any supervisory or enforcement action.”

The SRA recognised, in its proposal, that this change could result in some firms failing to offer appropriate training. To alleviate this concern the SRA Board decided to delay the implementation of the proposals until November 2016 with a transition period beginning in February 2015. This will help to ensure that appropriate advice and guidance is provided, and all firms understand how to instil the correct culture of training and focus on competence across their practices.

The SRA has already stated that a new declaration will be added into the individual and firm practising certificate, requiring each individual and firm to confirm that they have considered their CPD needs.

New CPD frameworks for OFR:

It is clear that firms will still need to record and have evidence that appropriate professional training has been provided to all relevant staff, and that the training has been completed in a satisfactory manner. The proposed changes will also have no impact on other mandatory training required by legislative or regulatory bodies; nor will it affect industry best practice.

The new Enterprise edition of VinciWorks’ Learning Management System has been developed with a framework capable of: accommodating the rules of any continuing education system; evidencing that an effective training plan is in place; demonstrating that training activities are providing a satisfactory level of comprehension; and dynamically delivering training completions and compliance.

Many firms we work with already enforce their own internal training requirements and regulatory training frameworks. For example, a firm might require all staff to complete 24 hours of training, including 12 hours of compliance courses — such as AML, ABC and data protection — and 12 hours in each solicitor’s field of practice. These internal CPD schemes and frameworks can easily be developed and monitored with the Enterprise LMS.

Evidencing compliance:

The SRA’s promise of “risk based audits and supervision of compliance” means that electronic monitoring of training compliance becomes more important than ever. The SRA will expect firms to demonstrate that their staff are knowledgeable in relevant areas of practice and law. Scored and tracked exercises in courses, that demonstrate mastery of the area in question, may prove to be an invaluable tool in satisfying the regulator in this regard.

Recently the SRA surveyed 750 law firms to examine how firms train their staff. According to the survey over four-fifths (81%) of respondents reported that staff are required to keep their own records of CPD. Under the new CPD scheme, firms will have a greater responsibility to evidence firm-wide competence, via centralised training systems.

It is clear that firms will still need to record and evidence the fact that appropriate professional
training has been provided to all relevant staff, and that the training has been completed in a satisfactory manner.Screen Shot 2015-06-22 at 10.49.23 AM

Preparing for November 2016:

Recognising that the SRA’s new regime will not be fully introduced until November 2016 at the earliest, we have begun to design processes that will allow firms to easily migrate from their existing CPD system to alternative frameworks. With the support of leading UK firms in the OCC, we are confident that once the SRA’s competence statement is released, we will be first to market with solutions fully aligned with the SRA’s continuing competence framework.

One idea we are working on is a system to track and analyse the effectiveness of learning and development frameworks. In its position paper, the SRA highlighted that “effectiveness” will be a primary focus when evaluating compliance with the requirement to train staff.

VinciWorks prides itself on its strong history of working closely and collaboratively with leading firms, and providing solutions to your needs as they arise.

Contact us at [email protected], or find out more about LMS Enterprise at
www.vinciworks.com/enterprise.