Development of a competence statement for solicitors · Development of a competence statement for solicitors Prepared for: Solicitors Regulation Authority Prepared by: June Wiseman,

Development of a competence

statement for solicitors

Research Report

Development of a competence statement for solicitors

Prepared for: Solicitors Regulation Authority

Prepared by: BMG Research


Prepared for: Solicitors Regulation Authority

Prepared by: June Wiseman, Lys Coleman, Philip Roe, Gemma Baker

Date: August 2014

Produced by BMG Research

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Executive Summary

1

Table of Contents

Executive Summary ............................................................................................................ 8

Introduction ....................................................................................................................... 8

Initial research and design ................................................................................................. 8

A quantitative research programme ................................................................................... 9

Ratings of the Competence Statement ............................................................................ 10

Variations between different groups of respondents ........................................................ 12

Variations between practitioners and consumer groups ................................................... 13

Adjustments to the Competence Statement ..................................................................... 14

Conclusions ..................................................................................................................... 15

1 Introduction: context for, and objectives of, the study .......................................... 16

2 Research method and sampling approach .............................................................. 18

2.2 Questionnaire ....................................................................................................... 27

2.3 Interpreting the data in this report ......................................................................... 30

3 Practitioners – overview of key findings .................................................................. 31

3.1 Introduction ........................................................................................................... 31

3.2 Respondent profile ................................................................................................ 31

3.3 Summary of practitioner ratings ............................................................................ 33

3.4 Practitioner views on the Competence Statement as a whole ............................... 40

4 Practitioners – views on different elements of the Statement ................................ 44

4.1 Introduction ........................................................................................................... 44

4.2 Competence Statement Section A: Ethics, professionalism and judgement ......... 46

4.3 Competence Statement Section B: Technical legal practice ................................ 54

4.4 Competence Statement Section C: Managing self and own work ........................ 66

4.5 Competence Statement Section D: Working with other people ............................ 71

4.6 Legal knowledge: areas of additional knowledge required and ‘awareness’ as a

descriptor of the appropriate level required ...................................................................... 77

5 Practitioners – differences between sub-groups ..................................................... 81

5.1 Introduction ........................................................................................................... 81

5.2 Gender .................................................................................................................. 81

5.3 Age ....................................................................................................................... 86

5.4 Ethnicity ................................................................................................................ 90

5.5 Type of practice .................................................................................................... 94


2

5.6 Area of law ............................................................................................................ 98

6 Main Findings – Individual consumers................................................................... 103

6.1 Introduction ......................................................................................................... 103

6.2 Competence Statement Section A: Ethics, professionalism and judgement ........ 103

6.3 Competence Statement Section B: Technical legal practice .............................. 106

6.4 Competence Statement Section C: Managing themselves and their own work .. 108

6.5 Competence Statement Section D: Working with other people .......................... 110

6.6 Overview of individual consumers’ ratings of the elements of the Statement....... 112

6.7 Individual consumers’ views on the Statement as a whole .................................. 114

6.8 Differences between subgroups of individual consumers .................................... 118

7 Main Findings – Business consumers ................................................................... 122

7.1 Introduction ......................................................................................................... 122

7.2 Profile of business consumers ............................................................................ 122

7.3 Competence Statement Section A: Ethics, professionalism and judgement ....... 124

7.4 Competence Statement Section B: Technical legal practice .............................. 127

7.5 Competence Statement Section C: Managing themselves and their own work .. 129

7.6 Competence Statement Section D: Working with other people .......................... 132

7.7 Overview of business consumers’ ratings of the elements of the Statement ....... 134

7.8 Business consumers’ views on the Statement as a whole ................................... 136

7.9 Differences between sub-groups of business consumers.................................... 138

8 Overview ................................................................................................................... 143

8.1 Introduction ......................................................................................................... 143

8.2 Overall level of endorsement of the Statement .................................................... 143

8.3 Variations between different groups of respondents ............................................ 143

8.4 Variation between practitioners and consumers .................................................. 145

8.5 Adjustments to the Statement ............................................................................. 148

8.6 Conclusion .......................................................................................................... 148

9 Appendix 1 – Weighting procedure for the practitioner sample ........................... 149

9.1 Weighting by business type ................................................................................ 149

9.2 Weighting by number of solicitors ....................................................................... 149

Appendix: Statement of Terms ...................................................................................... 151

Executive Summary

3

Table of Figures

Figure 1: Practitioners: Areas of law currently practised (%) (mentions 2% or more)........... 33

Figure 2: Practitioners: Importance of different aspects to solicitor competence (%) ........... 35

Figure 3: Practitioners: Importance of different aspects to personal practice (%) ................ 36

Figure 4: Practitioners: Overall vs Personal importance of all aspects of the Statement ...... 39

Figure 5: Practitioners: Adequacy of the Statement (%) ...................................................... 40

Figure 6: Practitioners: Ease of understanding of the Statement (%) .................................. 43

Figure 7: Practitioners: Importance of awareness of specific legal knowledge (%) .............. 78

Figure 8: Practitioners: Appropriateness of the term 'awareness' (%) .................................. 79

Figure 9: Practitioners: Adequacy of the Statement by gender (%) ..................................... 86

Figure 10: Practitioners: Ease of understanding the Statement by gender (%) .................... 86

Figure 11: Practitioners: Adequacy of the Statement by age (%) ........................................ 90

Figure 12: Practitioners: Ease of understanding the Statement by age (%) ......................... 90

Figure 13: Practitioners: Adequacy of the Statement by ethnicity (%) ................................. 94

Figure 14: Practitioners: Ease of understanding the Statement by ethnicity (%) .................. 94

Figure 15: Practitioners: Adequacy of the Statement by type of practice (%) ...................... 98

Figure 16: Practitioners: Ease of understanding the Statement by type of practice (%) ....... 98

Figure 17: Individual consumers: Importance of ethics, professionalism and judgement (%)

......................................................................................................................................... 104

Figure 18: Individual consumers: Importance of technical legal practice (%) ..................... 106

Figure 19: Individual consumers: Importance of managing themselves and their own work

(%) .................................................................................................................................... 109

Figure 20: Individual consumers: Importance of working with other people (%) ................ 111

Figure 21: Individual consumers: Importance of different aspects to being a competent

solicitor (%) ....................................................................................................................... 113

Figure 22: Individual consumers: Adequacy of the Statement (%)..................................... 114

Figure 23: Consumers: Ease of understanding the Statement (%) .................................... 117

Figure 24: Business consumers: Main activity of organisation (%) .................................... 123

Figure 25: Business consumers: Solicitor services ever/most recently used (%) ............... 124

Figure 26: Business consumers: Importance of ethics, professionalism and judgement (%)

......................................................................................................................................... 125

Figure 27: Business consumers: Importance of technical legal practice (%) ..................... 127

Figure 28: Business consumers: Importance of managing themselves and their own work

(%) .................................................................................................................................... 130


4

Figure 29: Business consumers: Importance of working with other people (%) ................. 132

Figure 30: Business consumers: Importance of all aspects (%) ........................................ 135

Figure 31: Business consumers: Adequacy of the Statement (%) ..................................... 136

Figure 32: Business consumers: Ease of understanding the Statement (%) ..................... 138

Figure 33: Priorities given by three groups to different elements of the Statement in respect

of their importance to being a competent solicitor ............................................................. 146

Figure 34: Priorities given by three groups to different elements of the Statement in respect

of their importance to being a competent solicitor ............................................................. 147

Table of Tables

Table 1: Skills and attributes identified as important by practitioners in qualitative research 20

Table 2: Tasks/behaviours which individual consumers in qualitative research expected their

solicitors to perform/exhibit.................................................................................................. 21

Table 3: Tasks/behaviours which business consumers in qualitative research expected their

solicitors to perform/exhibit.................................................................................................. 22

Table 4: Skills which individual and business consumers in qualitative research expect of

their solicitors ...................................................................................................................... 23

Table 5: Professional characteristics and behaviours which individual and business

consumers expect of solicitors ............................................................................................ 24

Table 6: Mean ratings of elements of the draft Competence Statement for their importance to

being a competent solicitor and to respondents’ own practice ............................................. 37

Table 7: Proportion of practitioners saying each element needed addition or adjustment .... 45

Table 8: Summary statistics for ‘acting in accordance with legal and regulatory requirements

and the SRA Codes of Conduct’ ......................................................................................... 47

Table 9: Summary statistics for ‘maintaining a sufficient level of competence and legal

knowledge to practise effectively, as their role and/or practice context changes and in

response to developments in the law’ ................................................................................. 48

Table 10: Summary statistics for ‘working within the limits of their knowledge, competence

and available supervision’ ................................................................................................... 49

Table 11: Summary statistics for ‘drawing on both an awareness of a broad base of legal

knowledge and sufficient detailed knowledge and understanding of their field(s) of work and

context in order to practise effectively’ ................................................................................ 51

Table 12: Summary statistics for ‘applying understanding, critical thinking and analysis to

solve problems’ ................................................................................................................... 53

Table 13: Summary statistics for ‘undertaking legal research’ ............................................. 55

Table 14: Summary statistics for ‘undertaking factual research’ .......................................... 56

Executive Summary

5

Table 15: Summary statistics for ‘developing, communicating and advising on relevant

options, strategies and solutions’ ........................................................................................ 57

Table 16: Summary statistics for ‘drafting documents which are legally accurate and

effective’.............................................................................................................................. 59

Table 17: Summary statistics for ‘undertaking effective spoken and written advocacy’........ 61

Table 18: Summary statistics for ‘negotiating solutions to client’s issues’ ............................ 63

Table 19: Summary statistics for ‘planning, managing and progressing legal matters and

transactions’ ........................................................................................................................ 64

Table 20: Summary statistics for ‘initiating, planning, prioritising and managing work activities

and projects to ensure that they are completed on time and to an appropriate standard, both

in relation to their own work and work that they lead or supervise’ ...................................... 67

Table 21: Summary statistics for ‘keeping, using and maintaining accurate, complete and

clear records’ ...................................................................................................................... 69

Table 22: Summary statistics for ‘applying good business practice’ .................................... 70

Table 23: Summary statistics for ‘communicating clearly and effectively, orally and in writing’

........................................................................................................................................... 72

Table 24: Summary statistics for ‘establishing and maintaining effective and professional

relations with clients’ ........................................................................................................... 74

Table 25: Summary statistics for ‘establishing and maintaining effective and professional

relations with others’ ........................................................................................................... 76

Table 26: Number of years qualified as a solicitor (all practitioners by gender) ................... 81

Table 27: Areas of law in which currently practice (all practitioners by gender) (mentions 2%

or more) .............................................................................................................................. 82

Table 28: Proportion rating each aspect as critical to being a competent solicitor (all

practitioners by gender) ...................................................................................................... 84

Table 29: Proportion rating each aspect as critical to their own personal practice of law (all

practitioners by gender) ...................................................................................................... 85


practitioners by age) ........................................................................................................... 88


practitioners by age) ........................................................................................................... 89

Table 32: Number of years qualified as a solicitor (all practitioners by ethnicity) ................. 91


practitioners by ethnicity) .................................................................................................... 92


practitioners by ethnicity) .................................................................................................... 93


practitioners by type of practice) ......................................................................................... 96


6


practitioners by type of organisation) ................................................................................... 97


practitioners by area of law) ................................................................................................ 99


practitioners by area of law) .............................................................................................. 101

Table 39: Individual consumers: proportion feeling aspects of ‘ethics, professionalism and

judgement’ have omissions and/or need amendments or clarifications ............................. 104

Table 40: Individual consumer comments on elements concerned with ethics,

professionalism and judgement ......................................................................................... 105

Table 41: Individual consumers: proportion feeling aspects of ‘technical legal practice’ have

omissions and/or need amendments or clarifications ........................................................ 107

Table 42: Individual consumer comments on elements concerned with technical legal

practice ............................................................................................................................. 107

Table 43: Individual consumers: proportion feeling aspects of ‘managing themselves and

their own work’ have omissions and/or need amendments or clarifications ....................... 109

Table 44: Individual consumer comments on elements concerned with solicitors’

management of themselves and their work ....................................................................... 109

Table 45: Individual consumers: proportion feeling aspects of ‘working with other people’

have omissions and/or need amendments or clarifications ............................................... 111

Table 46: Individual consumer comments on elements concerned with solicitors’

effectiveness in working with other people ........................................................................ 111


consumers by gender) ...................................................................................................... 119


consumers by age) ........................................................................................................... 121

Table 49: Business consumers: proportion feeling aspects of ‘ethics, professionalism and

judgement’ have omissions and/or need amendments or clarifications ............................. 125

Table 50: Business consumers’ comments on elements concerned with ethics,

professionalism, and judgement ........................................................................................ 126

Table 51: Business consumers: proportion feeling aspects of ‘technical legal practice’ have

omissions and/or need amendments or clarifications ........................................................ 128

Table 52: Business consumers’ comments on elements concerned with technical legal

practice ............................................................................................................................. 128

Table 53: Business consumers: proportion feeling aspects of ‘managing themselves and

their own work’ have omissions and/or need amendments or clarifications ....................... 131

Table 54: Business consumers’ comments on elements concerned with solicitors’

management of themselves and their work ....................................................................... 131

Table 55: Business consumers: proportion feeling aspects of ‘working with other people’

have omissions and/or need amendments or clarifications ............................................... 132

Executive Summary

7

Table 56: Business consumers’ comments on elements concerned with solicitors’ work with

other people ...................................................................................................................... 133


business consumers by size of organisation) .................................................................... 140


business consumers by sector) ......................................................................................... 142

Table 59: Variations between different groups of respondents .......................................... 144

Table 60: Practitioners: Business type .............................................................................. 149

Table 61: Practitioners: Number of Solicitors .................................................................... 150


8

Executive Summary

Introduction

The SRA wishes to develop a Competence Statement which reflects up-to-date best practice

in terms of the performance of solicitors’ duties within the current regulatory framework for

the profession. The Statement will, generally, form a coherent model of what competence in

the profession comprises but, more specifically, responds to the recommendation of the

recent Legal Education and Training Review that regulators should use competence

standards as a key regulatory tool for the education and training of solicitors. The SRA

recognises that any Competence Statement, in line with the requirements of the 2007 Legal

Services Act, must also take into account the consumer perspective on what ‘solicitor

competence’ comprises and that this cannot be left solely as a matter for the profession itself

to define.

To develop an evidence base for development of the Statement, the SRA has sponsored a

sequenced research programme.

Initial research and design

A first, qualitative phase of research comprised a programme of 78 in-depth interviews with

legal practitioners, legal educators, and individual and business consumers of legal services.

Broadly, these interviewees were invited to identify the areas of knowledge, skills, and

attributes which, in their views, an SRA Competence Statement should include. This phase

identified many insights into this. These insights were not in themselves sufficient to

constitute, collectively, a coherent and systematic Competence Statement.

However, findings from the qualitative research were used in the second research phase.

This phase, conducted by the SRA, involved a programme of workshops attended by a

range of practicing legal professionals and legal educators as well as by SRA

representatives. The workshops iteratively developed a draft Competence Statement, being

informed along the way not only by the outputs of the qualitative research phase but also by

the advice of a consultant with specialist expertise in defining competences and by a ‘Delphi’

group (a further set of senior legal practitioners and specialists who, independently of each

other, commented on drafts of the Statement as they were produced).

The draft Competence Statement produced through this process has 18 main competences,

divided into 4 areas. Each main competence has a set of further, more specific,

competences which, together, constitute the main competences. The main competences

are:

Executive Summary

9

A. Ethics, professionalism and judgement

1. Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct

2. Maintaining sufficient competence and legal knowledge to practise effectively

3. Working within the limits of their knowledge, competence and available supervision

4. Drawing on both an awareness of a broad base of legal knowledge and sufficient detailed knowledge and understanding of their field(s) of work and context in order to practise effectively

5. Applying understanding, critical thinking and analysis to solve problems

B. Technical legal practice

1. Undertaking legal research

2. Undertaking factual research

3. Developing, communicating and advising on options, strategies and solutions

4. Drafting documents which are legally accurate and effective

5. Undertaking effective spoken and written advocacy

6. Negotiating solutions to the client's issues

7. Planning, managing and progressing legal matters and transactions

C. Managing self and own work

1. Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, both in relation to their own work and work that they lead or supervise

2. Keeping, using and maintaining accurate, complete and clear records

3. Applying good business practice

D. Working with other people

1. Communicating clearly and effectively, orally and in writing

2. Establishing and maintaining effective and professional relations with clients

3. Establishing and maintaining effective and professional relations with others

A quantitative research programme

This draft Competence Statement was then submitted in surveys to three groups – legal

practitioners, individual consumers, and business consumers. In essence, the function of all

three surveys was to observe the degree to which the three groups, from either the ‘supply’

or ‘demand’ side of the market for solicitors’ services, agreed that the Statement and its

elements comprised a fit-for-purpose description of the competences which competent

solicitors need.

In the first survey, a sample of legal practitioners across England and Wales (who were

identified from the SRA’s comprehensive database of solicitors) were asked to take part in

an on-line survey. 1,068 responses were received from solicitors who varied widely in age,

gender, seniority in the profession, legal specialisms, and geographical location of practice.


10

In the second case, an on-line survey was undertaken of 503 individual consumers who

identified themselves as having used the services of a solicitor in the last 3 years in a

domestic context. Again, respondents were varied, in this case according to their ages,

genders, locations of residence, and reasons for consulting a solicitor.

In the third case, a sample of 205 business managers whose businesses had used the

services of a solicitor in the last 3 years were surveyed through the medium of telephone

interviews. In this case, the surveyed businesses varied by location and by their sizes and

sectors.

In all three cases, the basic content of the survey was the same:

Respondents were asked a series of questions designed to allow them to be

classified in various ways.

They were then asked to rate1 each of the different elements of the draft

Competence Statement for the importance of its elements to being a competent

solicitor.

They were also asked if each element had omissions and/or needed

amendments or clarifications and, if so, to add comments.

Finally, respondents were asked to give two summary ratings of the Statement –

of its overall adequacy and of the ease with which it could be understood – and to

add further comments, if they wished, to explain the first of these two ratings.

Within this procedure, however, there were two main variations. Firstly, practitioners, in the

first survey, were asked to add a furthe rating on each element of the survey. Thus, they

were asked not only to rate the importance of the elements to being a competent solicitor in

general, but also to rate their importance to their own personal practice of law on a daily

basis. Secondly, in order not to test the patience of a less specialised audience, the

elements of the survey were presented in the surveys of individual and business consumers

in a less elaborate way. Whilst practitioners were shown the set of contributory behaviours

and characteristics which lie below the ‘headline’ competences, individual and business

consumers were shown only these headline competences.

Key results from the three surveys are now summarised below.

Ratings of the Competence Statement

As above, the main purpose of the surveys was basically to seek to understand practitioners’

and consumers’ levels of support for the adequacy of the Statement and to learn any ways in

which they did not see it as adequate.

The main measure of these perceptions of adequacy (or otherwise) of the statements were

the ratings which the three groups made of the importance of the main competences ‘to

being a competent solicitor’. These ratings can be analysed in various ways but, as a

summary, the percentages of respondents in different groups giving a rating of between 8

and 10 which might be interpreted as meaning at least substantially important were:

1 All ratings made in the survey were on a 10-point scale, with 1 corresponding to the most negative

opinion and 10 to the most positive opinion.

Executive Summary

11

Percentages of respondents giving a rating of between 8 and 10 (on a 10-point scale) as to the importance of the main competences to being a competent solicitor

Practitioners

% Individual

consumers %

Business consumers

%



91 89 97


92 90 98


93 73 77


89 89 93


90 81 91


1. Undertaking legal research 81 84 88

2. Undertaking factual research 85 77 74


92 86 90

4. Drafting documents which are legally accurate and effective 90 90 99

5. Undertaking effective spoken and written advocacy 72 83 90

6. Negotiating solutions to the client's issues 82 86 88


80 85 97



93 85 88


87 89 95

3. Applying good business practice 78 85 89


1. Communicating clearly and effectively, orally and in writing 91 91 99


92 87 90


82 81 82


12

Generally, thus, at least 8 out of 10 respondents in all the three groups2 surveyed gave a

high score, of 8 or higher, to the importance of the competences.

In addition:

As noted earlier, practitioners were asked to give a further rating: this being for

the importance of the main competences to their personal practice on a day-to-

day basis. The percentages of competences receiving a rating of between 8 and

10 were rather more varied in this case, ranging from 93% (for ‘Developing,

communicating and advising on options, strategies and solutions’) to 61% (for

‘Undertaking effective spoken and written advocacy). They were still, however,

mainly high, 14 of the 18 competences being given a rating between 8 and 10 by

at least 80% of practitioners.

The percentages of respondents giving a rating of between 8 and 10 to the

‘adequacy of the Statement overall as a description of the competences required

by a competent solicitor’ were 77% in the case of practitioners, 78% in the case

of individual consumers, and 85% in the case of business consumers3.

The percentages of respondents giving a rating of between 8 and 10 for the ease

with which the Statement could be understood were 68% for practitioners, 62%

for individual consumers, and 79% for business consumers3.

Variations between different groups of respondents

Analysis of ‘the importance to being a competent solicitor’ ratings also considered whether

there were any differences between sub-groups of the three groups of respondents. Some

variations (and non-variations) between these sub-groups are shown below:

2 It can be seen that particularly high proportions of business consumers gave these higher ratings

(between 8 and 10) on a number of competences. This may be an effect of the different survey methods used (telephone interviews rather than the on-line method used for the other two groups) rather than a ‘true’ variation.

3 The variation in the case of business consumers may, again, be due to differences in survey

method.

Executive Summary

13

Variations between different groups of respondents

Group Variation

Practitioners: men and women

Women more frequently gave high ratings to all the ‘competent solicitor’ elements, to almost all the ‘personal practice’ elements, to the adequacy of the Statement overall, and on ease of understanding of the Statement.

Practitioners: different age groups

There were no significant variations between age groups.

Practitioners: ethnicity

Practitioners with BME backgrounds more frequently gave high ratings on the ‘competent solicitor’ and ‘personal practice’ elements and on the overall ‘ease of understanding’ measure. However, their overall judgement of the Statement’s adequacy was not different from that of white respondents.

Practitioners: type of employing organisations

‘Independent’ solicitors more frequently than in-house ones gave high ratings on the ‘competent solicitor’ and ‘personal practice’ elements and also more frequently saw the Statement as easy to understand. However, there were no differences between the two groups in their overall ratings of the Statement’s adequacy.

Practitioners: area of practice

There were no significant differences between practitioners specialising in different areas of law.

Individual consumers: men and women

Women more frequently gave higher ratings to the ‘competent solicitor’ elements. However, their overall ratings of the adequacy of the Statement did not differ from men and they were more likely than men (27% to 19%) to give a lower (1 to 6) rating on the ‘ease of understanding’ measure.

Individual consumers: age groups

Older respondents (35 and older) were more likely than younger ones to give high ratings to the ‘competent solicitor’ elements and to the overall adequacy of the Statement and were also more likely to give high ratings on the ‘ease of understanding’ measure.

Business consumers: size and sector groups

There were no significant differences on any of the measures between the groups.

However, these variations were relatively minor – a matter of single figure percentages in

most cases.

Variations between practitioners and consumer groups

Analysis of survey data also examined variation between the three groups of respondents in

the priority they gave to the different competences in the Statement: that is, did the three

groups give higher and lower average ratings to the same competences?

Results of this analysis are quite mixed. For example, competences such as ‘Establishing

and maintaining effective and professional relations with others’ and ‘Applying good


14

business practice’ were given lower priority by all groups and ‘Acting in accordance with

legal and regulatory requirements and the SRA Code of Conduct’ was rated relatively highly

by all the three groups. However, other competences were quite differently placed. For

example, ‘Working within the limits of their knowledge, competence and available

supervision’ and ‘Developing, communicating and advising on options, strategies and

solutions’ were more frequently regarded as ‘critical’ by practitioners than by individual and

business consumers, while the reverse was true for other competences such as ‘Drafting

documents which are legally accurate and effective’ or ‘Undertaking effective spoken and

written advocacy’ – these being rated more highly by the two groups of consumers than by

practitioners. Generally, there was much more agreement between the two consumer

groups’ prioritisations of the competences than between the practitioners’ and consumers’’

prioritisations.

Adjustments to the Competence Statement

As noted in the earlier outline of the surveys’ methods, in all three surveys, respondents

were also asked, if they wished, to comment (in writing in the two on-line surveys and

verbally in the telephone survey of businesses) on the overall adequacy of the Statement

and on the 18 individual main competences. Many comments were made, particularly by

practitioners, both on the particular competences in the Statement and on the Statement’s

overall adequacy.

Many of these, from all three groups, were simply supportive of the Statement. Others were

highly specific, concerning phrasing of the competences or (in the practitioner case) the

ordering of the more specific competences which lie under each of the 18 main

competences. However, more general points were also raised.

The main issues raised by practitioners were:

Whether a single Statement can usefully be developed and applied if it does not

have variations which allow for particular areas of practice and different career

stages.

That the Statement, perhaps partly because it has been developed to be

profession-wide, may simply be a ‘statement of the obvious’ which may, by

inference, have limited power to drive standards because it can simply be ‘taken

as read’.

That the Statement has particular omissions or needs changes of emphasis.

Some of the key omissions were, in the view of some practitioners, that the draft

Statement lacks sufficient acknowledgement of the importance to the profession

of the concepts of honesty, integrity, confidentiality, and trust.

Some individual and business consumers also saw some of the ‘obviousness’ and ‘idealistic’

characteristics of the Statement which some practitioners attributed to it. However, from

their position of lesser familiarity with the profession, their main concerns fell into four main

groups which were somewhat more prosaic than those of practitioners, the main ones being

that a competence statement for solicitors should:

Have some emphasis on cost control and on ensuring value for money for clients.

Ensure transparency, honesty, and adherence to a visible code of conduct –

when asked to comment at various points in the survey, many respondents,

Executive Summary

15

reflecting on their experiences, simply reported poor experiences in which the

actions of their solicitors were unseen and unaccountable and their solicitors

failed to communicate adequately.

Act in a timely manner: whilst consumers frequently valued solicitors’ knowledge

and skills, there was also concern that they often acted too slowly and inefficiently

(with negative consequences, as above, on costs).

Communicate with their clients, orally and in all forms of written communication,

in plain English and avoiding jargon.

Conclusions

The SRA has used a blend of qualitative research and expert deliberation to design a draft

Competence Statement. Quantitative surveys have asked practitioners of the profession

and their recent clients for their views on the draft Statement.

Analysis of these views show that substantial majorities, both of the profession and of its

clients, give high ratings to the main competences set out in the Statement for their

importance to being a competent solicitor and to the overall adequacy of the Statement.

Smaller majorities of each group give high ratings to the ease with which the Statement can

be understood.


16

1 Introduction: context for, and objectives of, the study

The SRA is a public interest regulator committed to setting, promoting and securing the

standards of behaviour and professional performance necessary to ensure that consumers

receive a good standard of service and that the rule of law is upheld. The SRA must also

promote the principles of good regulation, namely to act in a way which is transparent,

accountable, proportionate, consistent and targeted. The SRA's role in all its work –

including the regulation of education and training – is governed by these objectives.

A fundamental examination of the education and training requirements of the legal

profession, the Legal Education and Training Review (LETR), commenced in June 2011. In

particular, the review was prompted by the introduction of the Legal Services Act (LSA) and

the clear focus which this Act puts on the consumer interest and the regulatory objectives. A

key recommendation from the LETR research report4 was that regulators should use

competence standards as a key regulatory tool for education and training.

In light of this recommendation, the SRA's current competence requirements were

recognised as being in need of revision. In particular:

The Day One Outcomes, which are the composite articulation of what is expected

of a newly-qualified solicitors at the point of qualification, were developed on the

basis of an aggregation of each stage of the qualification rather than on an

analysis of what today's (and tomorrow's) lawyers actually need to do;

The current detailed articulation of ‘standards’ or ‘outcomes’ for each of the

stages of qualification was developed piecemeal and at a time when the

environment within which legal services were delivered was very different.

There is therefore a mismatch between the composite framework for newly-qualified

solicitors (the ‘Day One Outcomes’), and the individual outcomes which attach to each of the

stages. In addition, there is currently no overarching framework and no commonality of style

and language. Overall, therefore, there is a need for a coherent, updated, and future-

proofed statement of the competences needed by solicitors to practice to a high standard.

To address this, the SRA commissioned BMG Research to undertake a programme of work

to contribute to the empirical evidence base to inform and support the development a

competence statement.

Once a Competence Statement has been developed, the SRA will determine how individuals

should be assessed against its requirements. This will necessitate a review of the existing

pathways to qualification and of the existing quality assurance and regulatory frameworks,

with an emphasis on the development of robust methods of assessment. The development

of those frameworks and associated assessment procedures is not part of the remit of this

study.

Thus, in summary, the overall aim of this research study is to provide an empirical evidence

base for the development of a Competence Statement for solicitors which reflects best

4 Setting Standards: The future of legal services education and training regulation in England and

Wales, Legal Education and Training Review, 2013

Introduction: context for, and objectives of, the study

17

practice in terms of the performance of solicitors’ duties within the current regulatory

framework.

As this need for empirical evidence suggests, the SRA recognises that a Competence

Statement cannot be determined independently of the perspectives of the profession as a

whole; and, as indicated above, any statement of what solicitor competence comprises must

also take account of the interests of consumers. In practical terms, therefore, the subsidiary

objectives of this research are, by applying primary research methods of various kinds, to

identify and interpret these two broad perspectives, those of the profession and its

customers. The remainder of this report describes the research process undertaken in order

to achieve those objectives and sets out its findings.

In doing so, it will be recognised that this is a report by the commissioned research

organisation to the SRA. Thus, whilst advice and guidance has been received from the SRA,

it is not a report by the SRA itself. As such, interpretation of, or observations on, research

data are those of the research organisation and not necessarily those of the SRA.


18

2 Research method and sampling approach

2.1.1 Overview

The research programme consisted of two phases. A first phase included depth interviews

with legal firms, recently qualified solicitors, and training providers. In addition, depth

interviews were undertaken with domestic and business consumers of legal services.

The qualitative phase was followed by a quantitative phase which comprised larger surveys

of three audiences:

Practitioners;

Individual consumers;

Business consumers.

2.1.2 The qualitative phase

At this initial stage, 56 in-depth interviews were undertaken with legal firms, recently qualified

solicitors and special representatives of higher education institutions providing pre- and post-

qualification training for solicitors including qualifying law degree (QLD) and legal practice

course (LPC) providers . Contacts for these interviews were provided by the SRA.

A further 22 in-depth interviews were undertaken with individuals who had used the services

of a solicitor in the last 3 years. All these interviewees, as domestic or business users of the

services, were the particular individuals who were responsible for engaging the solicitor and

who had most contact with them during the course of the legal matters for which the solicitor

was engaged. In the first case, individual consumers were identified informally from

amongst people whom, at first or second hand, members of the research team knew to have

used a solicitor in the recent past. Business consumers were identified from a business

database supplied by Experian (one of the UK’s leading suppliers of business information).

In-depth interviews were undertaken in a mix of face-to-face and telephone modes and were

based on ‘topic guides’ (sets of mainly open questions) approved by the SRA. Interviews

were varied in length, according to the depth of experience and knowledge of different

contributors, but most lasted between half and one-and-a-half hours.

The function of this initial qualitative phase was essentially exploratory. The basic format of

the interviews was to offer the various groups a series of prompts comprising the areas of

skills, knowledge and attributes (KSAs) which collectively constituted the core of

competence which the SRA’s final Competence Statement might, a priori, be expected to set

out.

These prompts were drawn up from a review of other competence frameworks used in

various other jurisdictions and from existing models for assessing solicitor competence in

England and Wales5. These frameworks and models were very varied in terms of level of

5 For example: Legal Practice Course Outcomes, SRA, 2011; Competence Standards for Entry

Level Lawyers, Australasian Professional Legal Education Council, 2000; Marking and Moderation Policy, KAPLAN 2013; A new competency model for general practice, British Journal of General Practice, May 2013; Building Better Lawyers at Every Level, American Bar Association 2012; Law-firm competency models and student professional success: building a foundation of professional formation/professionalism, Legal Studies Research Paper No. 13-22, University of St Thomas,

Research method and sampling approach

19

detail with which KSAs were specified and in their approach to the specification [some taking

a ‘task’ approach (the ability to perform detailed legal activities), others taking a

‘characteristics’ approach (the possession or otherwise of attributes or skill sets or

knowledge), others blending these two approaches]. For this qualitative stage, a high

degree of compression was necessary to establish the series of ‘prompts’ – essentially a list

of the main themes which were common, at a ‘headline’ level, to most or all of the

frameworks and models reviewed.

The prompts were then offered to respondents and they were invited to give their views on

their importance to solicitors’ competence, to add as much detailed breakdown and nuance

to the headline competences as possible, and to add other items or areas of competence

which they felt were not subsumed within the offered list. In addition, some contextual

information was gathered. For example, domestic and business consumers were offered the

opportunity to comment not just on how important each area or theme was, in their view, to

solicitor competence, but also to report how well their solicitor, in respect of their most recent

legal matter, had performed in each area.

The basic outcomes of this first phase of research were fourfold.

First, it was evident that at a broad level, there was agreement that all the initial competence

themes offered to the different groups were regarded as important. There was little ability to

discriminate greatly between them.

Second, many individuals could, as requested, identify additional competences required by

solicitors.

In the case of practitioners, all ‘standard’ areas of the law were identified as being important

but with recognition of variation in their importance to individuals according to their

specialisms. Additionally, practitioners suggested many skills and attributes which were

important, not necessarily in all cases, without always discriminating clearly between these

two terms (some respondents identifying similar items either as ‘skills’ or as ‘attributes’).

However, examples of skills and attributes frequently mentioned by practitioner respondents

in the qualitative research are set out in the following Table:

Minnesota, 2013; National Lawyer Competency Standard (Canada), Annex 2, LETR report; Competencies – categories, The University of Law website, 2013; Mapping Lawyer Competencies onto the Low School curriculum to confirm that the curriculum prepares graduates for practice, Nelson P Miller, University of Florida, 2010; Competency model by behaviourally anchored rating scales, Department of Attorney General, State of Michigan, 2009; A Joint Statement…., The Law Society, 1979; Criminal Advocacy Education Form, QASA, 2011; Professional Education and Training Stage 1 – PEAT 1 Accreditation guidelines for applicants, The Law Society of Scotland, 2009; A Study of the Newly Licenced Lawyer, National Conference of Bar Examiners (US), July 2012.


20

Table 1: Skills and attributes identified as important by practitioners in qualitative research

Skills

Legal research skills

Writing and drafting skills (including strong grasp of grammar and spelling, adjustment of language for different audiences, facility in paper and electronic modes, etc.)

Interviewing skills

Developing and maintaining good client relationships (including managing client expectations)

Interviewing skills

Advocacy (usually seen as important only for those who regularly present in court)

IT skills

Analytical and problem solving skills

Business and financial skills; having commercial understanding

Listening skills

Organisational/multi-tasking skills

Team working skills

Attributes

Diligence

Empathy

Confidence

Decisiveness

Awareness of personal limits/knowing when to go back and ask questions

Willingness to participate in CPD/keep up to date

Professional self-presentation


21

Individual and business consumers also suggested many characteristics which they thought

should be possessed by a competent solicitor. Good knowledge of the area of law in which

they were practising was regarded as a sine qua non of competence.

Beyond that, individual consumers suggested a wider range of tasks which they expected

their solicitors to perform adequately or suggested characteristic behaviours which they

expected them to exhibit. Examples are set out in the next Table:

Table 2: Tasks/behaviours which individual consumers in qualitative research expected their solicitors to perform/exhibit

Negotiate

Advise on next steps throughout the case

Correct misunderstandings and misinformed decisions

Provide price breakdown of tasks

Provide timeframe for events

Be available and visible

Be understanding and hands-on

Represent in court

Listen

Ask questions

Liaise with all relevant people

Deliver desired outcome

Be qualified and experienced

Assess ongoing legal requirements

Resolve issues quickly – smooth handling

Act quickly

Keep in touch – be easy to contact

Manage risks

Carry out background research


22

Business consumers also expected their solicitors to be able to adequately deliver or exhibit

a range of tasks/behaviours:

Table 3: Tasks/behaviours which business consumers in qualitative research expected their solicitors to perform/exhibit

Provide up-to-date advice/guidance

Advice should be pragmatic

Ask the right questions

Be equipped with the right information

Understand the situation

Succinct and clear communication – oral and written

Understand the needs/requirements of the client

Be quick

Be honest

Provide comfort/reassurance

Provide best course of action and ownership for this

Draft/check/finalise all documents and correct errors

Answer all questions

Negotiate

Win in the matter

Understand the law

Be able to apply the law

Seek assistance where required

Be an expert in area of law practiced

Cost to match service and complexity of matter

Ensure actions are within law/regulations

Understand/work with unusual business circumstances

Manage all aspects of matter from start to finish

Carry out relevant background research

Deal with post-completion formalities

Manage input from other people

Be first point of contact


23

Both groups of consumers were also asked to identify particular skills which they required of

their solicitors. A list of examples given by both groups is set out in the following Table. It is

apparent that consumers often do not clearly discriminate skills from other wider attributes

which would not, from a ‘technical’ standpoint, be viewed as ‘skills’ as such:

Table 4: Skills which individual and business consumers in qualitative research expect of their solicitors

Expertise/specialist in field of practice

Knowledge of law and how it fits within wider legal context

Understand client needs/requirements

Invest time appropriately in matter of relevance to matter only

Carry out background research

Offer value for money

Clear and timely communication

Negotiator

Legal citation

Decision-making skills

Spot errors

Writing/drafting documents

Keep client well-informed

Interpersonal skills – good listener

Take control of situation

Punctual

Organised

Understanding

Good telephone manner

Collect and collate multiple sources of information

Apply theory of law in practice

Apply practical solutions

Confidence to say if they do not know something

Negotiation skills

Provide constructive advice

Draft documentation accurately

Manage risks

Team player with client

Flexibility

People skills

Empathy

Gather facts and evaluate

Transparency

Limit jargon

Listening skills


24

Finally, business and individual consumers were asked to identify the characteristics of

professional behaviour they expected to encounter from solicitors. Examples of these are

listed in the following Table. It can be seen that some of these are negative ones:

Table 5: Professional characteristics and behaviours which individual and business consumers expect of solicitors

Assertive

Foster trust

Confident

Cold

Impersonal

Arrogant

Posh

Discreet

Courteous

Committed

Accountable

Honest

Visible certificates

Dignified

Persuasive

Friendly

Approachable

Well-presented

Organised

Polite

Genuine

Welcoming

Civil

Non-argumentative

Diligent

Decisive

Well-informed

Integrity

Business-like

It can be seen, from the various Tables set out above, that the qualitative research identified

numerous insights into what consumers and the profession itself view as characteristics of

competent solicitors. However, it was also evident that these findings from the qualitative

research stage, whilst valuable as insights, were not sufficiently defined or comprehensive

as to permit the construction, from the ‘ground up’ using just these responses, of a

systematic competence statement or framework.

A third basic outcome of the first phase of research was that it was further apparent from the

discussions that it would be very difficult, perhaps impossible, to construct a competence


25

statement which allowed explicitly for the different legal areas in which different solicitors

work and for the different stages of a solicitor’s career (with ‘day-one’ competences being

distinctive either in type or precisely-measureable level from the competences of more

senior solicitors). All groups of respondents indicated that, of course, there are different

requirements of skills, knowledge, and attributes according to where solicitors are positioned

on each of these two dimensions. However, review of responses on these differences

suggested that mapping those requirements would be both extremely complex and likely to

lead to a degree of specificity which would be unworkable in practice. Essentially, the

qualitative research pointed to the development of a statement of the core competences of a

‘competent solicitor’, generally applicable across the profession, rather than to a statement

which attempted to allocate different levels of competence to solicitors specialising in

different areas of the law and/or at different career stages.

Finally, it was evident from consumers’ responses, that, whilst most received satisfactory

services, there were sufficient instances of shortfall in solicitor’s performances to justify

continuing work to ensure consistently competent performance within the profession.

2.1.3 Workshop and Delphi cycles

The next stage in the process of working towards a draft Competence Statement was that

findings from the qualitative phase were developed into a preliminary list of knowledge, skills

and attributes. This list was reviewed by the SRA and, as above, it was apparent that the list

did not offer a coherent, systematic picture of solicitor competence – further detailed

evidence was required to look at what solicitors need to know and do to undertake their

roles, and to explore the role of specialisation. A specialist competence consultant was

commissioned by the SRA at this stage to provide expertise and guidance in developing a

draft Competence Statement.

A workshop approach was then established in order to add further evidence from group

discussions with participants who were drawn from:

practitioners

legal educators

wider stakeholders (including operational regulation staff, Legal Ombudsman, consumer representatives, etc.)

Two workshops were undertaken, each using the same group of participants. The first

workshop focused on gaining an evidence base from participants to identify what tasks and

activities practitioners undertake in their roles, along with discussing the level of specialist

knowledge that is required. Participants worked in small facilitated groups that were divided

into specialist practice areas to review the tasks and identify critical factors that are part of

their practice. Findings from this first workshop were then used to inform the development of

an initial draft Competence Statement. The second workshop focused on reviewing this draft

version with participants who again worked in small facilitated groups. Findings from these

groups were collated and analysed.

Further drafting was then undertaken in the light of feedback from a range of sources and

stakeholders including workshop group members and the Delphi Group which had,

additionally, been established.

Criteria for individuals in this group were developed along with a set of Terms of Reference.

Individuals in the Delphi group all have experience and expertise in developing and

implementing professional qualifications and in applying competence-based frameworks


26

within a regulatory context. Delphi members did not know each other and worked

independently of each other, in line with the standard Delphi model of research consultation.

These experts were sent sets of materials to review, along with series of open questions

referring to the materials to consider and reflect upon. They were provided with a pro forma

to input their written responses to the questions (and could submit supporting evidence

where they identified this as appropriate). This research approach was adopted to ensure

that objectivity was retained as far as possible in gaining responses to key questions.

Delphi groups responses were collated, analysed, and used to inform the format and content

of the draft Competence Statement throughout its iterative design process.

2.1.4 Quantitative phase

2.1.4.1 Introduction

This draft Competence Statement was then considered by a further research process, ‘the

quantitative phase’, which is described below, and of which the results constitute the

remaining contents of this report. The quantitative phase comprised three surveys, each

undertaken between mid-April and mid-May 2014. These surveys are described below.

2.1.4.2 Practitioners

A survey of practitioners was conducted online from 23rd April to 16th May 2014.

The sample was randomly selected to be representative of the universe of solicitors in terms

of region, business type and the number of partners at the organisation. Monitoring quotas

were set on this basis.

The sample achieved responses from each of the different sub-groups of the solicitors who

formed the population of interest to the survey. Thus, the majority of respondents were in

private practice rather than in other status and were based in practices of varied sizes. The

sample was divided almost equally between men and women respondents, one in 10

respondents were from Black and Minority Ethnic groups, covered a wide age range, and

was spread across all regions of England and Wales. The full profile of the sample,

including their professional roles and specialisms, is set out in the following chapter which

considers findings from the practitioner survey.

In order to ensure that the results were representative of the population under investigation,

weighting was applied to account for business type and the number of qualified solicitors

employed in the organisation. The pre- and post-weighted profiles of the sample on these

dimensions are set out in Appendix 1. While all base sizes shown in the report are un-

weighted so as to indicate the reliability of the data, all data shown are weighted.

Overall, a sample size of 1070 carries a maximum confidence interval of ±3.0% at the 95%

confidence level. Given this high level of statistical confidence, the fact that, as above, the

survey achieved responses from a broad spectrum of the profession, and that weighting was

undertaken to ensure that the sample for analysis matched some key population statistics,

results are assumed to be representative of the practitioner population as a whole.


27

2.1.4.3 Individual consumers

The individual consumer sample consists of 503 members of the general public who had

personally used the services of a solicitor within the last three years, sourced via a Research

Now6 online panel. The survey was conducted online from 17th April to 25th April 2014.

No quotas were set and no weighting was applied given that no population estimates exist

for this audience. However, the achieved sample had representation from both genders

(58% female and 41% male) and a spread of representation by age, place of residence, and

ethnicity. They had also used solicitors for a variety of reasons, including conveyancing, will

writing, accident claims, and so on. A fuller profile of the sample is set out in Chapter 6

which considers findings from the survey of individual consumers.

A random sample size of 503 carries a maximum confidence interval of ±4.4% at the 95%

confidence level. Since there is no known source which describes the characteristics of the

population of domestic users of solicitors’ services, the formal representativeness of this

sample cannot be asserted. However, variety of response, as above, in respect of a range of

respondents’ demographic characteristics and use of solicitors for varied purpose, coupled

with a reasonable sample size is likely to deliver results which are meaningful.

2.1.4.4 Business consumers

The business consumer sample consists of 204 businesses consumers who had personally

dealt with a solicitor on behalf of their organisation within the last three years, sourced via

the Experian database. The survey was conducted via CATI (computer-aided telephone

interviewing) from 15th April to 16th May 2014.

No quotas were set and no weighting was applied given that no population estimates exist

for this audience. However, the achieved sample had representation from both genders

(60% male and 40% female) and a spread of representation by age and ethnicity of the

respondent and by location of the business. Most respondents (95%) had used external

solicitors but 5% had used in-house solicitors. The sample also had a spread across all the

main sectors of the Standard Industrial Classification system. A fuller profile of the sample is

set out in Chapter 7 which considers findings from the survey of business consumers.

A random sample size of 204 carries a maximum confidence interval of ±6.9% at the 95%

confidence level. As with individual consumers, formal representativeness of a population

(businesses which use solicitors) whose actual structure is not known cannot be asserted;

but, again, reasonable variety of respondents and a reasonable volume of response makes it

likely that results are meaningful.

2.2 Questionnaire

The questionnaire followed the same structure across the three surveys and, in addition to a

number of screening and classification questions, asked for respondents’ views of the

specific elements of the Statement. The draft Competence Statement is set out in full in an

Appendix. However, in summary, it has 18 elements organised into four main sections:

6 Research Now is a private company which maintains a very large panel of respondents with known

socio-economic characteristics. The company organises on-line surveys of panel members who have qualifying characteristics (in this case, use of a solicitor in the last 3 years). The company uses a range of techniques to ensure that only panel members who genuinely qualify to take part in the surveys actually do so.


28








1. Undertaking legal research

2. Undertaking factual research



5. Undertaking effective spoken and written advocacy

6. Negotiating solutions to the client's issues





3. Applying good business practice





For practitioners, additional detail was provided under each of the headings above (A1, A2,

etc.). This is shown in the relevant sections in Chapter 4 of this report which reports

responses to the individual elements of the Statement.

Respondents in the practitioner sample were asked to rate each specific element of the

Statement in turn, firstly in relation to how important the aspect was to being a competent

solicitor, and secondly in relation to how important it was to their personal practice of law on

a day-to-day basis. These questions were asked on a scale of 1 to 10 where 1 was 'No

importance' and 10 was 'Critical'. Respondents were also asked if the aspect had any

omissions and/or needed any amendments or clarifications, and were able to type in any

open comments. These questions were repeated for the 18 elements of the Statement


29

outlined above. A ‘screen shot’ of a typical question layout in the online survey of

practitioners is shown below:


30

For respondents in the individual and business consumer samples, the questionnaire

broadly followed the same structure. Consumers were asked the first and third questions

asked of practitioners (‘How important is this aspect to being a competent solicitor?’ and ‘Do

you think this aspect has any omissions and/or needs any amendments or clarification?’).

However, instead of rating how important the aspect was in relation to their personal practice

of law, consumers were asked to rate how well the aspect was demonstrated in their most

recent dealings with solicitors. This was asked on a scale of 1 to 10 where 1 was 'Poor' and

10 was 'Excellent'. However, whilst of use to the SRA for purposes not related to this study,

this question was mainly asked to maintain respondents’ interest in the survey and results of

the question are not reported here.

In all three surveys, after responding about each of the elements in turn, respondents were

asked to provide their overall views on the Statement, specifically in terms of its adequacy

and how easy it was to understand. These questions were asked in relation to 1 to 10

scales.

2.3 Interpreting the data in this report

2.3.1 Rounding

The data used in this report are rounded up or down to the nearest whole percentage point.

It is for this reason that, on occasions, tables or charts may add up to 99% or 101%. Where

tables and graphics do not match exactly to the text in the report this occurs due to the way

in which figures are rounded up (or down) when responses are combined.

2.3.2 Report contents

The report which follows now sets out findings for each group surveyed – practitioners (in

Chapters 3, 4, and 5), domestic consumers of solicitors’ services (in Chapter 6), business

consumers of solicitors’ services (in Chapter 7). A final chapter offers an overview of key

findings.

Practitioners – overview of key findings

31

3 Practitioners – overview of key findings

3.1 Introduction

Data obtained from the on-line survey of practitioners described in the previous chapter has

been analysed in three ways:

A first analysis, in this chapter, gives an overview of findings for practitioners.

This overview includes:

A description of the profile of the practitioner sample.

Summary statistics describing practitioners’ ratings of the elements of the

Competence Statement.

A review of practitioners’ views on the Competence Statement as a whole.

A second analysis, in Chapter 4, sets out more detailed practitioners’ view on

each of the 18 main elements of the Statement individually.

A third analysis, in Chapter 5, describes variations in response between different

sub-groups of practitioners.

3.2 Respondent profile

3.2.1 Type of practice

A range of profile data was collected via the survey. After weighting had been applied to

ensure the sample was representative in terms of practice type and the number of qualified

solicitors working in the organisation, 78% of practitioners were shown to work in a private

practice. Twelve per cent worked as in-house solicitors within businesses. Five per cent

worked as in-house solicitors for local authorities. Four per cent worked for other public

bodies (including the Crown Prosecution Service, regulatory bodies, and educational and

health services). A very small number, accounting for 1% of respondents, worked for other

organisations (such as a charity or an advisory service).

3.2.2 Demographic profile

The sample consisted of a fairly even split of 51% male and 47% female practitioners (2%

did not provide a response). Just over half (52%) of practitioners interviewed were aged

between 35 and 54 years, while 21% were aged 34 or under and 23% were aged 55 or over.

A very small proportion (3%) of the sample reported having a disability. Four in five (80%)

were white, while 10% were from a BME background. The remaining 10% did not provide a

response regarding their ethnicity.

3.2.3 Location of practice

A third (33%) of practitioners were based in London. A further 25% were based in other

Southern areas of the UK, 22% were based in the North, 10% in the Midlands, and 3% in

Wales (7% of locations were not identified). More specific regional proportions were: East

Midlands 4%; East of England 4%; London 33%; North East 2%; North West 12%; South

East 12%; South West 9%; West Midlands 6%; Yorkshire and Humber 8%; Wales 3%;

7% not identified.


32

3.2.4 Length of time qualified

There was a wide spread in terms of the number of years for which practitioners had been

qualified. Almost one in five (18%) had been qualified as a solicitor for up to 5 years, a

further 13% between 6 to 10 years, 26% between 11 to 20 years, 22% between 21 to 30

years and 16% had been qualified for over 30 years.

3.2.5 Role within organisation

The majority (59%) of respondents stated they were a ‘practising solicitor’, while almost a

third (32%) were partners, one in ten (10%) were directors, and 7% were training principals.

One in five (19%) indicated another role (including ‘in-house counsel’, ‘consultant’,

‘associate’, ‘crown prosecutor’, ‘compliance officer’, and others).

Almost half (46%) of practitioners were employed at organisations that had more than 50

qualified solicitors, while 24% worked in organisations that employed 11 to 50 solicitors, and

29% employed 10 solicitors or fewer.

3.2.6 Practice areas

Practitioners were asked to state what areas they practise in, with the most common areas

of practice being ‘Business and commercial affairs’ (36%), ‘Dispute resolution/civil litigation’

(26%) and ‘Commercial property’ (20%):


33

Figure 1: Practitioners: Areas of law currently practised (%) (mentions 2% or more)

Q8. In which of these areas of law do you currently practise? Base: All respondents – 1070; Note: because solicitors could practise in more than one area of law, total adds o more than 100%

3.3 Summary of practitioner ratings

Practitioner ratings of the elements of the draft Competence Statement for their importance

to solicitor competence and the respondents’ own practice of law are shown in two Figures

and one Table which follow.

The two Figures respectively show the spread of ‘importance’ ratings of each element on the

two dimensions (‘solicitor competence’ and ‘own practice’). The figures are organised such

that the elements are ranked from ‘high’ to ‘low’ according to the percentage of ‘critical’

ratings (rating of 10) given for each element. The Table which follows the figures sets out

the data in a different way, in this latter case, a Table shows the arithmetic mean scores for

each element on each of the two dimensions. In this case the elements are listed as in the

order they appear in the draft Competence Statement

36%

26%

20%

14%

12%

12%

10%

10%

10%

9%

6%

5%

3%

3%

2%

2%

2%

2%

2%

2%

Business and commercial affairs

Dispute resolution/Civil litigation

Commercial property

Employment law

Probate, wills and trusts

Residential conveyancing

Crime

Family law (including matrimonial and child …

Personal injury, accident, medical negligence

Pensions/insurance/tax/financial (not personal)

Regulation / compliance / governance

Consumer problems / Consumer Rights

Personal bankruptcy, personal insolvency, …

Immigration

Welfare benefits and social security rights/ …

Charity

Intellectual property

Planning

Procurement/contract law

Public law (inc. constitutional)


34

These analyses reveal a number of basic points about practitioner perspectives on the draft

Competence Statement.

All elements of the Statement are rated as important to solicitor competence in

general. There is variation in the proportions which are given the highest ‘critical’

rating, as the first Figure shows, but even if elements are not given this ‘critical’

rating, they are still rated, in the great majority of cases, at the upper end of the

rating scale. Very few respondents gave a low rating, in the 1 to 4 range, to any

of the elements. This compression of ratings at the ‘important’ end of the rating

scale is emphasised in the Table of mean ratings which shows that the lowest

mean (8.39 for B5 ‘undertaking effective spoken and written advocacy’) was still

high.

However, within this limited variation in ratings of the elements, it can be seen

that the elements which were rated as least important to solicitor competence

tended to be those in the ‘Technical legal practice’ group (‘B’ elements) with the

exception of ‘Developing, communicating and advising options, strategies and

solutions’ which was quite highly rated and, to a lesser degree, of ‘Drafting

documents which are legally accurate and effective’ which was placed in ‘mid-

table’.

Similarly, all elements were rated highly in respect of their importance to

practitioners’ own practices. In this case, the lowest mean rating, of 7.56, was

again given to the ‘Undertaking effective spoken and written advocacy’ element.

On this second dimension, a number of ‘Technical legal practice’ elements were

again rated relatively lowly but two elements in this group, ‘Developing,

communicating and advising on options, strategies and solutions’ and ‘Drafting

documents which are legally accurate and effective’ were rated in the ‘top three’

items, along with ‘Establishing and maintaining effective and professional

relations with clients’.

What level of average ratings constitutes ‘practitioner endorsement’ of the elements of the

Statement is a matter of judgement not of fact. However, assuming that averages of 8 or

above are accepted as sufficient for this, then the most basic point of these analyses is that

all elements of the Statement are ‘endorsed’ as being important to solicitor competence and

virtually all are shown to be important to practitioners’ own practice of law:


35

Figure 2: Practitioners: Importance of different aspects to solicitor competence (%)

How important is this aspect to being a competent solicitor? Base: All respondents – 1070

68

64

61

59

58

57

56

54

54

54

53

45

44

43

42

40

40

36

13

16

18

21

20

17

20

18

21

21

18

21

20

21

19

18

17

16

10

13

13

12

15

15

17

18

15

16

16

19

18

18

19

23

21

20

4

4

3

3

5

7

5

6

5

6

7

8

10

10

11

11

12

11

3

2

2

2

2

3

2

3

3

3

5

6

5

6

6

6

7

12

<0.5

1

1

1

1

1

2

1

1

1

1

2

1

1

1

2

2

A1. Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct

A3. Working within the limits of their knowledge, competence and available supervision

B3. Developing, communicating and advising on options, strategies and solutions

D2. Establishing and maintaining effective and professional relations with clients

C1. Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate … A4. Drawing on both an awareness of a broad base of legal knowledge and sufficient detailed knowledge and understanding of their field(s) of …

A2. Maintaining sufficient competence and legal knowledge to practise effectively

A5. Applying understanding, critical thinking and analysis to solve problems

B4. Drafting documents which are legally accurate and effective

D1. Communicating clearly and effectively, orally and in writing

C2. Keeping, using and maintaining accurate, complete and clear records

B2. Undertaking factual research

B6. Negotiating solutions to the client's issues

D3. Establishing and maintaining effective and professional relations with others

B7. Planning, managing and progressing legal matters and transactions

B1. Undertaking legal research

C3. Applying good business practice

B5. Undertaking effective spoken and written advocacy

10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided


36

Figure 3: Practitioners: Importance of different aspects to personal practice (%)

How important is this aspect to your personal practice of law on a day-to-day basis? Base: All respondents – 1070

61

58

57

57

56

56

54

54

53

52

51

45

44

44

43

37

35

33

19

20

19

21

21

21

19

17

13

17

21

24

20

21

20

17

20

12

13

12

13

14

13

13

13

14

13

14

16

16

17

15

15

18

18

16

3

4

6

4

6

5

6

6

9

7

7

8

8

8

8

12

11

9

3

4

3

3

3

3

5

6

7

6

3

5

7

10

9

10

12

14

1

1

1

1

1

1

1

2

3

2

1

1

2

2

4

5

4

14

1

1

1

1

<0.5

1

1

1

1

1

1

1

1

1

2

1

2




C1. Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, …



A4. Drawing on both an awareness of a broad base of legal knowledge and sufficient detailed knowledge and understanding of their field(s) of work and context in …














37

Table 6: Mean ratings of elements of the draft Competence Statement for their importance to being a competent solicitor and to respondents’ own practice

Solicitor

competence Own

practice



9.33 8.77


9.20 9.07


9.34 8.91


9.17 9.05

10. Applying understanding, critical thinking and analysis to solve problems 9.15 9.18


8. Undertaking legal research 8.68 8.27

9. Undertaking factual research 8.87 8.68


9.30 9.27

11. Drafting documents which are legally accurate and effective 9.16 9.17

12. Undertaking effective spoken and written advocacy 8.39 7.56

13. Negotiating solutions to the client's issues 8.84 8.58

14. Planning, managing and progressing legal matters and transactions 8.76 8.75



9.26 9.20

5. Keeping, using and maintaining accurate, complete and clear records 9.02 8.98

6. Applying good business practice 8.60 8.28


4. Communicating clearly and effectively, orally and in writing 9.15 9.20


9.31 91.8


8.79 8.89


38

The distinction between these ‘solicitor competence’ and the ‘personal practice’ ratings can

be explored in more detail than simple observation of the two previous Figures allows. Thus,

a further Figure overleaf plots the proportion rating each element as ‘critical’ to being a

competent solicitor, against the proportion rating each element as ‘critical’ to their own

practise of law on a day-to-day basis.

The diagonal line indicates the line of ‘best fit’ across all of the variables. If the relationship

between the two measures – importance to being a competent solicitor and importance to

own practice of law – was entirely consistent, all data points would fall on this line, indicating

a correlation of 100%.

Items towards the upper end of the line of best fit were those seen as relatively important,

those towards the bottom end of the line as less important. Overall, there was a relatively

high degree of consistency between the elements, reflecting similar ratings for numerous

elements on the ‘competent solicitor’ and the ‘personal practice’ scales. The correlation

between the two sets of data is 86%, and several points lie on, or close to, the line of best fit.

However, it can be seen that all but one element relating to the ‘Ethics, professionalism and

judgement’ dimension were rated as more important to being a competent solicitor than they

were to the individual’s own practise of law, with the greatest divergence being in relation to

those elements identified as being the two most important to being a competent solicitor:

‘Acting in accordance with legal and regulatory requirements and the SRA Codes

of Conduct’;

‘Working within the limits of their knowledge, competence and available

supervision’.

Elements where importance to the individual practice was rated as being of higher

importance than to the profession as a whole, included:

‘Drafting documents which are legally accurate and effective’;

‘Applying understanding, critical thinking and analysis to solve problems’;

‘Communicating clearly and effectively, orally and in writing’.


Figure 4: Practitioners: Overall vs Personal importance of all aspects of the Statement

Correlation = 86%

A

B

C

D

E

F

G

H

I

J

K

L

M

N

O

P

Q

R

30

35

40

45

50

55

60

65

70

30 35 40 45 50 55 60 65

% O

vera

ll I

mp

ort

an

ce (

10)

% Personal Importance (10)

Working within the limits of their knowledge,

competence and available supervision

Acting in accordance with legal and regulatory

requirements and the SRA Codes of Conduct

Maintaining sufficient competence and

legal knowledge to practise effectively

Drawing on both an awareness of a broad base of

legal knowledge and sufficient detailed knowledge and

understanding of their field(s) of work and context

Applying understanding, critical thinking

and analysis to solve problems

Undertaking legal

research

Undertaking

factual research

Developing, communicating

and advising on options,

strategies and solutions

Drafting documents which are

legally accurate and effective

Undertaking effective spoken

and written advocacy

Negotiating solutions

to the client's issues

Planning, managing and

progressing legal matters

and transactions

Initiating, planning, prioritising and

managing work activities and projects

Keeping, using and maintaining

accurate, complete and clear records

Applying good

business practice

Communicating clearly and

effectively, orally and in writing

Establishing and maintaining effective

and professional relations with clients

Establishing and maintaining effective

and professional relations with others

Ethics, professionalism and judgement

Technical legal practice

Managing self and own work

Working with other people


40

3.4 Practitioner views on the Competence Statement as a whole

3.4.1 Overall adequacy of the Statement

As well as rating the importance of the individual elements of the Statement, practitioners

were asked to rate ‘the adequacy of the Statement overall as a description of the

competences required by a competent solicitor’.

Overall, the majority of practitioners rated the Statement as adequate, with over half (51%)

providing a rating of 9 or 10 (out of 10) in terms of adequacy. A very small proportion, 4%,

gave a low rating of 1 to 4. How these ratings are interpreted is again a matter for judgement

not fact. It can be seen, for example, that nearly 8 out of 10 practitioners (77%) gave a rating

of 8 or above to the Statement overall adequacy – which could be taken as sufficient

endorsement by the profession. On the other hand, a significant minority, of 12% or 1 in 8,

gave it an average rating of 6 or lower which obviously suggests less than total endorsement

by the profession:

Figure 5: Practitioners: Adequacy of the Statement (%)

Q1. How would you rate the adequacy of the Statement overall as a description of the competences required by a competent solicitor? Base: All respondents – 1070

Respondents were also asked to give verbatim reasons for the level of rating they had given.

Practitioners supplied 507 open responses to this request.

A number of types and examples of response are set out below. It should be noted that they

are included to illustrate types of response, not as accurate indicators of the volume of

responses in the different types of response which are identified:

There were many supportive responses which, occasionally with a minor caveat,

showed that respondents believed the Statement to be effective. Examples to

show the flavour of these positive views are:

We should have high expectations of ourselves as a profession and nothing

has been set out in the Statement that is unexpected or unacceptable.

I think you have adequately covered competences required by a competent

solicitor in the Statement.

Covers broadly the relevant skills.

It reads clearly and is logical and coherent.

22 29 26 10 8 4 Adequacy

10 (Totally adequate) 9 8 7 6 to 5 4 to 1 (Totally inadequate)


41

Some respondents question whether a single Statement can cover different

situations. The SRA has itself recognised the challenge of developing a ‘core’

Statement which is widely applicable to solicitors in different types of practice and

at different stages of their careers. This challenge was implicit in a number of

responses exemplified below:

Obviously different setting or area of practice may have its own unique

requirement and/or competences. Difficult and impossible to have one size

fits all.

Being a solicitor is such a varied role and the requirements of the role can

change greatly dependent on the circumstances that it is difficult to generalise

to such an extent on required competencies.

Good all round but really needs to be tailored to specific legal fields as not all

skills are as relevant for all areas of law.

It is a good start but in some areas is very repetitive and in other areas needs

expansion. It might help to highlight the areas key at the start of your career

and those that become more key as you become more senior otherwise there

is a risk parts will be seen as patronising or irrelevant.

Have concerns that it is too all-encompassing and does not take account of

length of experience, role etc.

A number of respondents reacted to the Statement by reflecting that its content is

totally obvious and/or that every item was rated as critical/important. The extent

to which these observations imply that the Statement is of reduced value or utility

is a matter of inference:

A lot of it comprises statements of the obvious, or is so generalised and high

level as to be meaningless, or is equally applicable to any professional

service provider or executive manager in almost any business.

Common sense.

The Statement covers the competences very well but all of them should be

second nature to a competent solicitor.

A relatively small number of respondents reflected that they would have preferred

to be able to rate the more specific items which contributed to the main elements

of the statement. For example:

Putting together different activities for a group judgment can distort the

importance of some elements.

I thought all of them were very important, and found it difficult to grade on a

scale of 1 to 10. For that reason, I would have found it more useful if under

each question, we were asked to score the sub-questions. Within each

question, some of the competencies were more important than others to my

practice and, in my view, to solicitors generally.

Different attributes of varying importance bunched together made the

assessment less than simple.


42

Some statements covered too many aspects some of which may be more

important than others.

Some respondents suggested that the Statement has omissions. Some examples

are:

The questionnaire failed to stress integrity as the over-arching requirement

from which everything else must flow. You can't put it on a par with

understanding your employer's financial resources etc.

Could place more emphasis on billing, financial implications and overall

awareness of how the law firm generally operates.

There needs to be more about honesty, integrity, ceasing to act in certain

circumstance, and conflicts of interest.

I think more effort is needed to make it clear that it is not appropriate to

practice an area of law in which you are not experienced - inexperienced

lawyers cause issues for the profession as a whole.

Appreciation of the fundamental principles of being a lawyer should be

highlighted. The duties of confidentiality and care expected of us and to

uphold the reputation of the profession.

What about managing stress, overwork, competing and irreconcilable

deadlines and priorities?

You left out the most - maybe the only - important criterion, which is to foster

a relationship of trust with the client.

A number of respondents made comments on broader issues; for example,

comments which reflected on the desirability of having a Competence Statement

at all or which suggested a requirement for different emphases or for lesser or

greater degrees of generality/specificity. Some examples are:

Whilst I do not doubt the good intentions I seriously doubt the wisdom of such

a huge and detailed statement of competence.. Perhaps the more detailed

examples should be hived off as a training document with a different status

than the statement of competence. Complex ideas can't be easily translated

into simple bite-sized summaries.

The competences which have been set out are critical for anyone wishing to

conduct themselves as a solicitor. However, I consider that 'competences' of

a solicitor are so broad and far-reaching that to attempt to define them would

be very difficult (if not impossible). Undoubtedly, there are further examples of

competences which could be added to the Statement. In short, I believe that

adherence to the Code of Conduct is the ultimate pinnacle of what a solicitor

should be required to achieve given that this clearly defines all obligations,

including, for example, having sufficient capability to deal with a relevant area.

I think tick boxes rarely improve service – it’s a cultural thing. What is said

seems very laudable but I'm not convinced it really hits the mark.

Some of the grouping bundle competences which are of a more commercial

issue (in that they might determine how successful a solicitor will be in their


43

role) rather than characteristics necessary to hold themselves out as being a

solicitor. It is right to expect a solicitor to have a required standard of

competence and integrity, but regulation must not be overly prescriptive in

how the solicitor chooses to work.

In general terms all the competences listed in the statement are highly

relevant, appropriate and applicable to all solicitors. The question is how does

one test whether a solicitor possesses these competences. It is one thing

acknowledging that a solicitor ought to have these, and another ensuring that

he/she actually has them.

The Statement really should split between the absolutely fundamental

(absolute honesty, clarity of communication to name but 2) and the desirable.

I felt the fundamentals are the wood which has been lost in the trees!

Too vague. It's academic - not a practical guide.

3.4.2 Ease of understanding of the Statement

Finally, as a further overall rating, practitioners were asked to rate the language and

terminology used in the Statement for its ability to be understood by solicitors and those

involved in the development of solicitors’ competence. In this case, the ratings were a little

lower than those for the Statement’s overall adequacy. In terms of ease of understanding,

around a quarter (26%) rated the language and terminology as ‘totally clear’ (10 out of 10),

and a further 20% rated it as 9 out of 10. A fifth (20%) of practitioners gave a rating of 1 to 6,

highlighting that some felt the Statement could be easier to understand:

Figure 6: Practitioners: Ease of understanding of the Statement (%)

Q2. How would you rate the language and terminology used in the Statement for its ability to be understood by solicitors and by those involved in the development of solicitors’ competence? Base: All respondents – 1070

26 20 22 11 12 8 Ease of

understanding

10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear)


44

4 Practitioners – views on different elements of the Statement

4.1 Introduction

As noted earlier in the description of the questionnaire, practitioners were asked not only to

make ratings of the importance of elements of the Statement to performing as a competent

solicitor and to their own practice but also to say whether they thought the individual

elements had omissions and/or needed amendment or clarification and, if so, to provide

reasoning or comments for this.

In respect of each element, a relatively small proportion of respondents did believe that there

was a need for addition or adjustment. These proportions are set out in the following Table.

It will be noted that the proportions saying the first two elements needed adjusting are higher

than for other elements. It seems likely that this is an order effect with respondents being

keener to express opinions earlier in the survey and/or expressing views at an early point

which they felt they did not have to repeat for other, later elements:

Practitioners – views on different elements of the Statement

45

Table 7: Proportion of practitioners saying each element needed addition or adjustment

% of respondents saying element needed addition or adjustment



14


10


8


8

15. Applying understanding, critical thinking and analysis to solve problems 5


15. Undertaking legal research 6

16. Undertaking factual research 5


7

18. Drafting documents which are legally accurate and effective 8

19. Undertaking effective spoken and written advocacy 7

20. Negotiating solutions to the client's issues 6

21. Planning, managing and progressing legal matters and transactions 7



6

8. Keeping, using and maintaining accurate, complete and clear records 6

9. Applying good business practice 7


7. Communicating clearly and effectively, orally and in writing 5


6


4


46

The main objective of the reminder of this chapter is now to review research results in

respect of each element of the Statement, taking into account the observations made by the

proportions of practitioners, as in the last Table, who believed that additions or amendments

to elements of the Statement would be beneficial. The format used to do this is:

Each ‘element’ of the Statement is set out in a shaded box.

Following that, as context, some simple summary statistics of practitioners’

‘importance’ ratings are set out.

A third section describes the main themes of the comments made by practitioners

In considering these analyses, three points are relevant:

Firstly, their context is one in which, as shown in the previous chapter, the

proportions of practitioners saying each element is ‘important’ are generally high and

the proportions of practitioners saying the elements need addition or adjustment (as

shown in the previous Table) are low.

Secondly, description of the comments is not judgemental as to whether they are

valid or not. An evaluative review of practitioners’ observations will be a matter for

consideration by the SRA and other stakeholders in the profession subsequent to this

report.

Thirdly, comments broadly fell into two groups in which practitioners either made

general observations or suggested more specific additions or adjustments. The

descriptions of the comments which follow usually make this broad distinction.

4.2 Competence Statement Section A: Ethics, professionalism and

judgement

4.2.1 Introduction

The following section considers the five specific elements within the area of ‘ethics,

professionalism and judgement’.

1. Acting in accordance with legal and regulatory requirements and the SRA

Codes of Conduct;

2. Maintaining a sufficient level of competence and legal knowledge to practise

effectively, as their role and/or practice context changes and in response to

developments in the law;

3. Working within the limits of their knowledge, competence and available

supervision;

4. Drawing on both an awareness of a broad base of legal knowledge and

sufficient detailed knowledge and understanding of their field(s) of work and

context in order to practise effectively;

5. Applying understanding, critical thinking and analysis to solve problems.


47

Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct, including:

a. Identifying relevant principles and applying them appropriately

b. Understanding and applying the ethical principles of the regulatory requirements

c. Recognising ethical issues and exercising effective judgement in addressing them

d. Resisting pressure to condone, ignore or commit unethical behaviour

e. Respecting diversity and acting inclusively

Table 8: Summary statistics for ‘acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct’

Summary statistics

Mean rating for importance to being a competent solicitor 9.33

Mean rating for importance to own practice 8.77

Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor

68%

Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor

1%

Percentage giving a ‘critical’ rating (10) for importance to own practice 53%

Percentage giving a ‘low’ rating (1-4) for importance to own practice <0.5%

Percentage saying has omissions or needs amendment 14%

Description of comments

A number of general comments on this point queried whether the ‘diversity and acting

inclusively’ item was equivalent to the other items and, therefore, whether it should be

included. How the element fitted with regulatory requirements, the Code of Conduct, and

Outcomes-focussed regulation (OFR) was also a subject of varied comment with issues of

overlap or lack of congruity being raised. Comments also criticised the language used for

vagueness, lack of specificity or examples, and its terminology (described by one

respondent as comprising ‘consumer and business terminologies’ rather than the statement

of ‘values, integrity, and independence’ which was required).

More specifically, several comments:

Queried the ordering of the sub-themes.

Wanted explicit mention of honesty and integrity.

Queried whether items (a) and (b) differed sufficiently as to be separate.

Wanted mention of a competence in teaching or guiding colleagues on these

matters.

Wanted explicit mention of maintenance of confidentiality.

Wanted clearer definition of ‘ethics’ and ‘diversity’.

Suggested ‘behaving professionally’ as a relevant competence here.


48

Wanted explicit mention of maintaining independence in performance of the

solicitor’s role.

Maintaining a sufficient level of competence and legal knowledge to practise effectively, as their role and/or practice context changes and in response to developments in the law, including

a. Taking responsibility for personal learning and development

b. Accurately evaluating their strengths and limitations in relation to the demands of their work

c. Maintaining an adequate and up-to-date understanding of relevant law, research, policy and/or practice

d. Reflecting on and learning from practice and from interaction with others

e. Adapting practice to address developments in the delivery of legal services

Table 9: Summary statistics for ‘maintaining a sufficient level of competence and legal knowledge to practise effectively, as their role and/or practice context changes and in response to developments in the law’

Summary statistics




56%


2%


Percentage giving a ‘low’ rating (1-4) for importance to own practice 3%



General comments in this section concerned a variety of issues not directly concerned with

the definition of the element itself:

The element is closely linked to the availability of, and access to, relevant

training.

The element raised concerns about the overall purpose to which the Competence

Statement would be put.

The element raised a related concern about how and by whom performance in

these matters would be monitored with several comments about the inadequacy

of CPD regulations in providing for monitoring of practitioners’ actual performance

of regulated behaviours.


49

That regulation generally is too burdensome.

Other general comments bore more directly on the element itself. For example, the question

was raised as to how the element would be applied to, and scaled for, solicitors at different

stages (particularly the trainee and newly-qualified stages), in different specialisms, and in

different and diverse work environments (including the distinction between independent and

in-house practices). It was also observed that the element was closer to an appraisal

process than a statement of a competence as such.

Many specific points on the element were also raised, including:

That the element lacks detail and/or clarity.

That ‘taking responsibility’ lacks meaning.

That items (b) and (d) are essentially the same.

That ‘research’ in item (c) is confusing as comprising a process rather than, as

are the other items, an end in itself.

That it does not account for varying degrees to which solicitors are able to control

their own activities and that a distinction between person responsibilities and

those of the firm/organisation needs to be made.

That access to monitoring systems is necessary if the items are to be accurately

assessed.

Working within the limits of their knowledge, competence and available supervision, including

a. Identifying and admitting when work is beyond their personal competence and capability

b. Admitting when they have made mistakes or are experiencing difficulties

c. Seeking and making effective use of guidance and support where needed

Table 10: Summary statistics for ‘working within the limits of their knowledge, competence and available supervision’

Summary statistics




64%


2%





50


Several general comments in this case raised the concern that this element is ‘a big ask’ for

individual solicitors – in that the element can be counter-cultural in some organisations and

the ability to realise the element will depend on employers and, particularly, on employers’

supervisory attitudes and practices. It was also pointed out, somewhat more

‘philosophically’, that there is a logical issue in that practitioners ‘don’t know what they don’t

know’ and, hence, could make errors without knowing that they were doing so. And it was

suggested the element needs to be interlinked with the level of solicitors’ specialisation

which can lead to high levels of knowledge in particular areas of law but in imprecision in

adjacent areas.

More specific points included:

That a more positive obligation not to act outside the practitioner’s sphere of

knowledge could be included.

That a requirement to attend up-dating courses as necessary to keep abreast of

change could be added.

That a requirement to rectify mistakes and to make apologies as soon as

possible could be added.

That ‘acknowledging’ or ‘disclosing appropriately’ rather than ‘admitting’ mistakes

would be more appropriate ‘as no-one is infallible’.

That a requirement to work with specialists when a practitioner has uncertainties

could be added.

That the element could be read as being too restrictive on solicitors’ ability to

push their knowledge forward, including by the use of research, particularly in

cases where there are few or no precedents.


51

Drawing on both an awareness of a broad base of legal knowledge7 and sufficient detailed knowledge and understanding of their field(s) of work and context in order to practise effectively, including

a. Identifying relevant legal principles

b. Applying legal principles to factual issues, so as to produce a solution which best addresses a client's needs and reflects the client’s commercial context or personal circumstances

c. Recognising when matters need attention that are outside their competence and taking appropriate action

Table 11: Summary statistics for ‘drawing on both an awareness of a broad base of legal knowledge8 and sufficient detailed knowledge and understanding of their field(s) of work and context in order to practise effectively’

Summary statistics




57%


3%





Two conflicting general perspectives on this element were, on one hand, that solicitors only

need to know the area of law in which they practice and in other areas do not need to know

more ‘than what should be expected of the ordinary man in the street’ and, on the other

hand, that a ‘broad base of legal knowledge is key – increasing specialisation without a

broad basic understanding increases the risks that issues are overlooked’. One respondent

observed that the element’s focus on client needs was too narrow: ‘in creating public policy

there are more complex interests at play that require consideration’. Some respondents

7 Legal system of England and Wales and of the EU, constitutional law, human rights and equality legislation, contract law,

tort, SRA/BSB Handbook including the rules of professional conduct and accounts, rules of criminal law, property law, equitable rights and obligations, company law, money laundering, financial services regulation, taxation, business structures and legal personality

8 Legal system of England and Wales and of the EU, constitutional law, human rights and equality legislation, contract law,

tort, SRA/BSB Handbook including the rules of professional conduct and accounts, rules of criminal law, property law, equitable rights and obligations, company law, money laundering, financial services regulation, taxation, business structures and legal personality


52

suggested that some elements, such as item (c), duplicated what had already been included

elsewhere (in this case, item (a) of the previous element ‘Identifying and admitting when

work is beyond their personal competence and capability’). Respondents also argued that

the relevance of the element depended on role and the organisational context in which

particular solicitors work and that all solicitors need to seek advice on areas of law in which

they are not specialists.

More specifically, respondents suggested:

That the ‘asterisked’ areas of law were too narrow (for example, not including

intellectual property, data protection, trust, insolvency, family, or employment

law).

That ‘producing solutions’ is too definitive for many situations (for example, client

expectations need to be realistic and properly managed, many occasions require

inputs from other sources of expertise, including non-legal ones, and that cost

effectiveness precludes some ‘solutions’).

That various other wording within the element could be improved (for example,

one respondents asked ‘is ‘sufficient’ good enough?’; another suggested that

‘the client’s commercial context’ needs clarification; and a third that ‘appropriate

action’ needs strengthening – ‘merely passing on is not good enough’).


53

Applying understanding, critical thinking and analysis to solve problems, including

a. Assimilating information to identify key issues and risks

b. Recognising inconsistencies and gaps in information

c. Evaluating the quality of information

d. Synthesising multiple sources of information to make effective judgements

e. Reaching reasoned decisions supported by relevant evidence

Table 12: Summary statistics for ‘applying understanding, critical thinking and analysis to solve problems’

Summary statistics




54%


<0.5%





Practitioner comments on this element included:

The views that this is just a general statement of what solicitors do or is too

general or varies in importance according to seniority.

That it should include recognition of skills in extracting relevant information from

clients.

That it is necessary to maintain a sense of proportion between implied activities

and clients’ actual needs, resources and objectives.

That some language used is jargonistic or imprecise or could be improved (for

example: ‘understanding’ should be replaced by ‘knowledge’; ‘synthesising

multiple courses of information is too broad brush’; ‘interpret’ would be better

than ‘synthesise’; add ‘within your field of work’ after problems’; add ‘and

reliability’ after ‘quality’; and that item (d)’s meaning is not clear’).


54

4.3 Competence Statement Section B: Technical legal practice

4.3.1 Introduction

The following section considers the seven specific elements within the area of ‘technical

legal practice’.

1. Undertaking legal research;

2. Undertaking factual research;

3. Developing, communicating and advising on options, strategies and solutions;

4. Drafting documents which are legally accurate and effective;

5. Undertaking effective spoken and written advocacy;

6. Negotiating solutions to the client's issues;



55

Undertaking legal research, including:

a. Using appropriate methods to undertake the research

b. Identifying, finding and assessing the relevance of sources of law

c. Interpreting, evaluating and applying the results of the research

d. Recording and presenting the findings accurately and clearly

Table 13: Summary statistics for ‘undertaking legal research’

Summary statistics




40%


1%





Practitioners’ general comments included those that the items were repetitive, that the level

of research needs is very variable and depends on budgets available, that legal research is

important but not always critical, and that research is dependent on role (for example, for

senior solicitors, it is a responsibility often delegated to junior solicitors or paralegals).

More specific points made included:

That the nature of the ‘recording’ required is not clear.

That item (b) is unnecessary as it is implicit in items (a) and (c).

That research findings should be presented to clients in an accessible and

understandable manner.

That the element should add reference to the need to clearly link research to the

advice given to clients.

That ‘presenting’ needs to be separated as a more generic skill from its linkage

here with legal research.


56

Undertaking factual research, including:

a. Identifying when further factual information is needed

b. Finding, analysing and assessing relevant documentary evidence to extract the relevant information

c. Eliciting relevant information through effective use of interviewing and questioning and active listening

d. Interpreting, evaluating and applying the results of the research

e. Recording and presenting the findings accurately and clearly

Table 14: Summary statistics for ‘undertaking factual research’

Summary statistics




45%


<0.5%





Some general points on this element were that it is repetitive of the previous ‘legal research

element’, that it is ‘a statement of the obvious’, and the requirement for factual research is

highly variable between different cases and situations.

More specific observations on the element included:

The items are in the wrong order – (a) should follow (c).

(a), (b), and (c), essentially collecting information, are separable from, and less

important than, (d) and (e), evaluating information, as measures of competence.

Factual research needs to be proportionate and cost-effective and to take

budgets into account.

Point (c) should reflect efficient modern communication technologies.

One respondent asked ‘What other kinds of listening are there which are not

‘active’?’

Presentation of factual research findings, as in the legal research case, need to

be appropriately pitched for its audiences (particularly, to make them

understandable to clients).


57

Developing, communicating and advising on relevant options, strategies and solutions

a. Taking into account a client's needs, objectives, priorities and constraints

b. Ensuring that proposals and advice are informed by appropriate legal and factual research

Table 15: Summary statistics for ‘developing, communicating and advising on relevant options, strategies and solutions’

Summary statistics




61%


1%





The main general points made here were twofold. First, it was frequently observed that the

significance of the element depends on situations and varies by specialisms, and cases: the

obvious example given was that the element is much more relevant to a complex business

transaction than to a conveyance. Second, the element needs to acknowledge that the

scale of service needs to recognise financial circumstances and constraints.

More specific points which practitioners raised were:

Research is not the only basis of advice and ‘research won’t be part of run of the

mill cases’ – experience, common sense, and commercial awareness and

acumen, and ethical and legal constraints are often as or more important as the

basis of advice.

Clients cannot always articulate or even know what they want: part of the function

is to help clients to crystallise their objectives not simply to take account of their

initial expression of these.

It is critical to be able to advise on the risks and benefits of options and this

aspect should be explicit.

Communicating advice and options in a way such that they are fully understood

by clients is important.


58

Item (a) needs rewording to become ‘understanding and taking into account’:

needs cannot be taken account of unless they are first fully understood.

The element should recognise that client needs and objectives change as cases

progress and law changes: solicitors need to revisit and modify their advice in

response.


59

Drafting documents which are legally accurate and effective, including

a. Making appropriate use of precedents

b. Addressing all relevant legal and factual issues

c. Complying with any formalities or accepted practice

d. Using clear, plain, accurate and succinct language

Table 16: Summary statistics for ‘drafting documents which are legally accurate and effective’

Summary statistics




54%


3%





Practitioners offered a range of general observations on this element. Firstly, it was

observed that drafting is often a responsibility delegated to junior solicitors or to Counsel,

that document automation is now frequently used for efficiency, and that the importance of

drafting varies between areas of law. The point was also made that not all documents can

or should address all issues or be technically perfect – negotiating between two sides in a

case may result in a compromised document, some gaps or risks may be inevitable in some

documents (these needing to be pointed out to clients), in some cases ambiguity can be an

advantage, and the costs implicit in ‘all’ should be realised. One respondent also suggested

that drafting is a skill at which some solicitors are naturally better than others and that ‘I don’t

see that raising the bar will change that’.

More specific observations included:

That ‘clear, plain, accurate and succinct’ are not always congruent: for what is

succinct or plain is not always accurate, what is accurate cannot always be clear

given the complexity of law, and so on.

That these terms have varied meaning for legal and lay audiences: what is clear

to a lawyer is not necessarily clear to a client.


60

(d) has redundancy: ‘clear’ and ‘accurate’ are sufficient without ‘plain’ and

‘succinct’

Putting item (a) in its current position gives it an apparent precedence when it is

less important than the other items.

(d) should come first as it is the most important item.

It should be made clear that ‘documents’ includes solicitors’ letters.

It should be made clear that precedents themselves need to be appropriate as

well as their use.

There should be reference to the necessity for documents to be appropriate and

effective in relation to their purposes and context.

Compliance with ‘formalities and accepted practice’ may be a recipe for ‘no

change’: legal documentation needs to move forwards towards adoption of plain

English and ‘best practice’ might be a better alternative.


61

Undertaking effective spoken and written advocacy, including

a. Identifying and mastering relevant factual and contextual information and legal principles (effective preparation)

b. Marshalling the facts to support the argument

c. Presenting a reasoned argument in a clear, logical, succinct and persuasive way

d. Making appropriate reference to legal authority

e. Complying with any formalities or accepted practice

f. Dealing with all witnesses appropriately

g. Responding effectively to questions or opposing arguments

h. Identifying strengths and weaknesses from different parties' perspectives

Table 17: Summary statistics for ‘undertaking effective spoken and written advocacy’

Summary statistics




36%

Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor 2%





Practitioners’ comments on this element largely focussed on the question of ‘advocacy’ itself

in this context. Key points concerned:

The extent to which the element is relevant to contentious versus non-

contentious work: does the element relate to litigation only or does it include, for

example, advice on a course of action?

Related to this, the extent to which the element clarifies or allows for the

distinction between written and oral advocacy.

Thus, many practitioners took the view that the element was of variable importance,

depending on how it was interpreted. On one hand, items (a), (b), (c), (d), (g) and (h) could

simply be read as the essence of solicitors’ normal functions; on the other hand, if they are


62

intended somewhat differently as aspects of making a case in a contentious matter and

presenting it in court, then the element as a whole only has selective relevance to particular

areas of law and to some individuals.

Other points made included:

The element’s items are particularly prescriptive and are somewhat aspirational:

while solicitors will seek to act in these ways, there are inevitable shortfalls in

most solicitors’ actual performance.

The ‘advocacy’ function is differentiated and allows for different capabilities not

necessarily embodied in a single individual: technical specialists ‘provide the

bullets’, advocacy specialists ‘fire them’. It is not essential or practicable for all

competent solicitors to have these competences.

These competences are largely derived from experience and reinforced by client,

peer and employer recognition: a written statement will not heighten professional

standards given these circumstances.


63

Negotiating solutions to client’s issues, including

a. Identifying parties’ interests, objectives and limits

b. Developing and formulating options for meeting parties' objectives

c. Developing compromises between options or parties

Table 18: Summary statistics for ‘negotiating solutions to client’s issues’

Summary statistics




44%


1%





Practitioners again reflected in their comments on this element that there is great variation in

its applicability across the profession, many solicitors seldom or never negotiating. It was

also suggested, as with advocacy, that negotiation is a skill learned from experience and

may be rooted in personality and, thus, cannot, as such, be taught nor improved by a written

set of aspirational statements.

It was further frequently suggested that in many cases the key point was to win in a

negotiation, not to ‘negotiate solutions’ or ‘develop compromises’; or that there were

limitations on a solicitor’s ability to develop compromises when clients are essentially

uncompromising. It was also pointed out that, in criminal law as the most obvious example,

the client’s ‘solution’ may be unattainable without this fact reflecting in any way on their

solicitor’s competence.

Some more specialised comments on this element were:

Advocacy (the subject of the previous element) and negotiation are sufficiently

close as to allow for a single treatment.

The specific role and skills of mediation should be explicit.

There should be specific mention of the risks attached to different actions and of

the need to identify not just ‘options’ but the best option.

There should be reference to cost-effectiveness and cost implications of options

and solutions.


64

Planning, managing and progressing legal matters and transactions, including

a. Applying relevant processes and procedures to progress the matter effectively

b. Identifying, evaluating, communicating and managing risk

Table 19: Summary statistics for ‘planning, managing and progressing legal matters and transactions’

Summary statistics




42%


1%





This element generated numerous and varied comments to the issue of ‘risk’. For example:

That ‘risk’ itself is a matter for the client: risks should be explained but it is up to

the client whether they wish to take them, not up to the solicitor.

‘Risk management has become an industry in itself and the bane of our lives. It

should be a simple evaluation in each case by a competent lawyer without ticking

boxes in triplicate’.

Conversely: ‘Many see the matter of risk as an intrusion into the function of

dealing with client matters and generating fees. There is a mindset in place

where compliance officers fight an uphill battle to ensure lawyers conduct

appropriate risk management’.

In respect of (b): ‘a competent solicitor should not incur any risk’.

‘Managing risk for the client or for you/your firm? Obviously both aspects need to

be identified, managed and communicated as appropriate’.

Generally, on the issue of risk management, there is some lack of clarity, reflected in these

points, particularly in the last one, as to whether item (b) refers to risks to clients associated

with various courses of action or to risks to practitioners and their legal practices from the

way they deal with clients or the advice they give them.

Other points made by practitioners included:


65

Items (a) and (b) are conceptually separate and do not form a natural group.

‘Applying relevant processes and procedures’ can impede progress and not help

the client: ‘slavish adherence to set procedures rarely provides a decent service

to the client’.

(a) is an organisational matter, involving the deployment of practice resources,

not a matter for individual practitioners.

It is not clear whether ‘processes and procedures’ are regulatory ones or refer to

firms’ internal practices.

The element should contain reference to the meeting of deadlines, timeliness,

proactivity, flexibility in changing circumstances, recognition of the cost position of

clients – generally, an ‘efficiency’ dimension as well as an ‘effectiveness’ one

needs to be acknowledged.


66

4.4 Competence Statement Section C: Managing self and own work

4.4.1 Introduction

The following section considers the three specific elements within the area of ‘managing self

and own work’.

1. Initiating, planning, prioritising and managing work activities and projects to

ensure that they are completed on time and to an appropriate standard, both in

relation to their own work and work that they lead or supervise;

2. Keeping, using and maintaining accurate, complete and clear records;

3. Applying good business practice.


67

Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, both in relation to their own work and work that they lead or supervise, including

a. Clarifying instructions so as to agree the scope and objectives of the work

b. Taking into account the availability of resources in initiating work activities

c. Meeting timescales, resource requirements and budgets

d. Monitoring, and keeping stakeholders informed of, progress

e. Dealing effectively with unforeseen circumstances

f. Paying appropriate attention to detail

Table 20: Summary statistics for ‘initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, both in relation to their own work and work that they lead or supervise’

Summary statistics




58%


<0.5%





The most frequent general observation on this element was that it is highly aspirational –

something which solicitors should do but in practice rarely can do – and strongly related in

practice to commercial circumstances such that solicitors are placed under extreme

pressures by their firms. According to these views, the element is essentially one which is

not solely a matter of individual solicitor competence but is also and significantly a matter of

how the profession allocates its resources.

Some more specific points included:

The element should include reference to delegation of work where appropriate.

Item (f) would fit better in the ‘Technical legal practice’ section than in this one.

Many clients aren’t interested in progress reports: they want an end-date and

delivery by that date not descriptions of how solicitors are getting on with it.


68

This element raises the question of the nature of ‘solicitor competence’ which is

addressed by the Statement: competence as a provider specifically of legal

services or competence in organising work and running a business?

It is not clear whether item (b) implies or not that work should not be taken on if

resources are inadequate – the item should be more definite on this point.

Unrealistic timescales can sometimes be imposed by clients and it is not a matter

of ‘competence’ whether they are met or not.

Informing clients of progress should also include informing them of changes to

budget and timescale.


69

Keeping, using and maintaining accurate, complete and clear records, including

a. Making effective use of information systems, including storing and retrieving information

b. Complying with confidentiality, security and data protection requirements

Table 21: Summary statistics for ‘keeping, using and maintaining accurate, complete and clear records’

Summary statistics




53%


1%





Two general points on this element were made frequently by practitioners. First, that the two

items are quite distinct conceptually in that the first is a procedural matter related simply to

efficiency of practice whilst the second, particularly in respect of its ‘confidentiality’ element,

is at the heart of professional practice and client trust. The second general point is that

‘effective use of information systems’ has an organisational dimension and depends as

much on how the firm is structured to support this, in terms of electronic and paper storage

and retrieval systems and in terms of the numbers and efficiency of support staff, as on

individual practitioner behaviour. Similarly, data security is often a matter for IT staff, not for

individual solicitors.

Some more specific points were:

A requirement to make and retain detailed notes of meetings and phone calls

could be added as a further item.

An item could more specifically refer to administrative records (eg. engagement

letters, invoices) as well as to legal documents and records.

The element should specify clearly what information should be stored.

It would be valuable to identify what constitutes ‘accurate, complete, and clear

records’ at places of work which do not have formal ‘information systems’.


70

Applying good business practice, including

a. Demonstrating an adequate understanding of the organisational and financial context in which they work and their role in it

b. Understand the basis on which legal services are provided, including where appropriate how to calculate costs and bill clients

c. Applying the rules of professional conduct on accounting and financial matters

d. Managing available resources and using them efficiently

Table 22: Summary statistics for ‘applying good business practice’

Summary statistics




40%


2%





The most frequent general point made by practitioners is, as with some other elements, that

the importance of this element is influenced by the solicitor’s role, it often being seen as

more relevant to those in management or partner roles. It was suggested particularly that, in

larger firms, financial matters are largely handled by accounts teams and firms’ systems are

responsible on a daily basis for compliance with accounting rules: most solicitors in those

firms never get involved in financial matters. It was also noted that items (b) and (c) are of

limited relevance to in-house solicitors.

It was also argued by several respondents that only item (c) is of critical importance, the

other items being of lesser significance; or that the inclusion of item (c) suggests that

applying the rules of professional conduct is just ‘good business practice’; or that (b) and (c)

are ‘hard’ financial and accounting matters and differ in character from (a) and (d) which are

more concerned with the organisation of work.

Some further specific points were:

What ‘managing available resources’ in item (d) means is not clear.

Who ‘they’ are in item (a) is not clear.

What the ‘resources’ are in item (d) is not clear.


71

4.5 Competence Statement Section D: Working with other people

4.5.1 Introduction

The following section considers the three specific elements within the area of ‘working with

other people’.

1. Communicating clearly and effectively, orally and in writing;

2. Establishing and maintaining effective and professional relations with clients;

3. Establishing and maintaining effective and professional relations with others.


72

Communicating clearly and effectively, orally and in writing, including

a. Ensuring that communication achieves its intended objective

b. Responding to and addressing individual characteristics effectively and sensitively

c. Using the most appropriate method and style of communication for the situation and the recipient(s)

d. Using clear, plain, succinct and accurate language avoiding unnecessary technical terms

e. Using formalities appropriate to the context and purpose of the communication

f. Maintaining the confidentiality and security of communications

g. Imparting any difficult or unwelcome news clearly and sensitively

Table 23: Summary statistics for ‘communicating clearly and effectively, orally and in writing’

Summary statistics




54%


<0.5%





A wide variety of mostly detailed observations were made by practitioners, including, for

example:

Items (d) and (f) repeat items elsewhere in the Statement.

Should include a reference to environmental/commercial issues (eg. save paper

and postage, do not duplicate unnecessarily).

In many cases, legal technical terms cannot be avoided if communications

between legal professionals are to be meaningful.

As earlier, ‘clear and accurate’ language is sufficient, ‘plain’ and ‘succinct’ are

redundant.

There are, as earlier, contradictions on some occasions in these words (eg.

succinct can’t be accurate in some instances).


73

The competence of being able to explain technicalities to key clients should be an

explicit item.

Item (f) is fundamental; the other items are ‘icing on the cake’, or are imprecise

and subjective, or should not be the subject of SRA regulation.

There should be reference to speed of response and timeliness of

communications.

Some legal communications are opaque but still achieve their objective – which is

to avoid answering a question.

Some legal communications are in standard formats for whatever the situation

and their recipients; but providing the communication is in plain English, this is

not a problem.

Listening is a communication skill which could be included here.

The meaning of ‘individual characteristics’ (item (b)) and of ‘sensitivity’ (item (g))

is not clear.

The meaning of item (e) is obscure.

Solicitors act in their clients’ interests: thus, for example, it is not always

necessary, in relation to item (a), to make sure that the other side understands a

letter.

More generally, as with some other elements, it was observed that these items are often

linked to individual personalities and that it is difficult to train people to develop such

characteristics/behaviours. It was similarly suggested that ‘lawyering is a people business’

and as such ‘cannot be reduced to a series of templates’ in matters of communication styles.

And once more, it was observed that not all the competences apply across the profession

(one example given is of a solicitor working solely for corporate clients who understand

technical terms and who is unlikely to have to impart difficult news).


74

Establishing and maintaining effective and professional relations with clients, including

a. Treating clients with courtesy and respect

b. Providing information in a way that clients can understand, regardless of their personal circumstances and any particular vulnerability

c. Understanding and responding effectively to clients’ particular needs, objectives, priorities and constraints

d. Identifying and taking reasonable steps to meet the particular service needs of all clients including those in vulnerable circumstances

e. Identifying possible courses of action and their consequences and assisting clients in reaching a decision

f. Managing clients’ expectations regarding options, the range of possible outcomes, risk and timescales

g. Agreeing the services that are being provided and a clear basis for charging

h. Taking appropriate steps to inform clients of key facts and issues including risks, progress towards objectives, and costs

i. Responding appropriately to clients' concerns and complaints

Table 24: Summary statistics for ‘establishing and maintaining effective and professional relations with clients’

Summary statistics




59%


<0.5%





Some general comments made in respect of this element are:

It has limited relevance to in-house solicitors.

The Statement is too wordy which dilutes its message.

It has too much scope for subjective judgement.


75

It does not recognise that clients have different knowledge and experience – and

highly experienced clients don’t need ‘hand holding’ in the manner implied by

several items.

Some items are not relevant to some areas of law (eg. corporate lawyers don’t

deal with vulnerable people).

These skills are developed by experience and a junior solicitor would only be

expected to fully perform in respect of item (a).

Some more specific comments include:

‘Appropriate’ is a weak term, is over-used, and is not helpful in determining what

is required.

Items (a) - (d) overlap and duplicate: given (a) and (b), (c) and (d) don’t add

much.

Item (h) could more clearly start at ‘inform clients….’.

Item (j) is concerned with management of work and should not be in this element.

Item (c) should be modified to include the concept of clients’ reasonable ‘needs,

objectives, priorities, and constraints’.

The term ‘vulnerable’ is vague and needs definition (‘Are we to consider every

slight imbalance of power or slightly less able client to warrant specialist

precautions?’).

‘Agreeing services that are being provided’ should include a requirement to put

the agreement in writing.


76

Establishing and maintaining effective and professional relations with others, including

a. Treating others with courtesy and respect

b. Delegating tasks when appropriate to do so

c. Supervising the work of others effectively (where relevant to the role)

d. Acknowledging and engaging with others’ expertise as appropriate

e. Being supportive of colleagues and offering advice and assistance as required

f. Identifying, selecting and, where appropriate, managing third parties as needed to progress matters

Table 25: Summary statistics for ‘establishing and maintaining effective and professional relations with others’

Summary statistics




43%


1%





General observations on this element tended to reflect respondent circumstances: several

respondents were sole practitioners so the element was wholly irrelevant; others had no

supervisory responsibilities or ability to delegate; and others suggested that these

characteristics are important in principle but legal firms are under commercial pressures

which prevent these ‘touchy feely luxuries’ being afforded; or it was observed that some

‘brilliant’ solicitors do not observe the characteristics but it does not compromise their

competence; and several practitioners observed that these are the skills of a competent

manager in any organisation but are not required for each individual solicitor.

More specific observations included:

Item (e) is ‘woolly’.

Items (e) and (f) are not as important as items (a) to (d).

An item which recognises the importance of work/life balance could be added.

An item which requires senior solicitors to be accessible to, and approachable by,

junior ones could be added and which allows for ‘upward delegation’ of matters

beyond a junior solicitor’s competence.


77

A related issue concerns the requirement for junior solicitors to keep senior ones

informed of their actions.

4.6 Legal knowledge: areas of additional knowledge required and

‘awareness’ as a descriptor of the appropriate level required

In respect of the ‘knowledge’ item, two supplementary questions were asked.

The first of these asked respondents to give a rating for the importance of ‘an awareness’ of

particular areas of legal knowledge. These areas are those for which awareness is

important, over and above the areas which are important to them as the basis of their normal

practice and specialisms.

The second question asked respondents whether ‘awareness’ was the right word to use in

this context.

The next Figure shows the results of the first supplementary question. It can be seen, again

applying a 10-point scale, that the following areas of additional legal knowledge were most

frequently seen as ‘critical’ to respondents’: ‘legal system of England and Wales and of the

EU’ (41%), ‘money laundering’ (39%), ‘contract law’ (34%) and ‘SRA/BSB Handbook

including the rules of professional conduct and accounts’ (32%), as shown in Figure 7

overleaf.

Conversely, the following additional areas were least frequently rated ‘critical’: ‘constitutional

law’ (5%), ‘criminal litigation’ (7%), ‘taxation’ (9%), ‘wills and probate’ (9%), ‘rules of criminal

law’ (9%).


78

Figure 7: Practitioners: Importance of awareness of specific legal knowledge (%)

Please indicate how important an awareness of the following elements of legal knowledge are to enable you to carry out the activities at question 4, in addition to the specialist knowledge required for practice in your field of work. Base: All respondents – 1070

In response to the question as to ‘How appropriate is the term ‘awareness’ in describing the

level of the broad base of legal knowledge required by solicitors to practice?’, more than four

in five (83%) practitioners agreed that the term ‘awareness’ was appropriate:

41

39

34

32

22

21

19

19

19

15

15

15

12

9

9

9

7

5

11

13

15

15

11

15

13

9

7

6

12

10

9

3

7

5

2

4

17

15

14

14

15

16

14

13

10

8

16

12

11

5

15

6

4

9

13

7

10

10

11

12

12

10

10

5

11

9

13

5

11

6

4

13

10

11

15

15

19

18

18

22

19

16

23

20

20

19

23

16

14

24

6

13

12

12

20

17

22

25

33

49

23

33

34

58

33

57

66

42

1

1

1

2

1

1

2

2

1

2

1

1

1

2

2

1

3

2

Legal system of England and Wales and of the EU

Money laundering

Contract law

SRA/BSB Handbook including the rules of professional conduct and accounts

Tort

Business structures and legal personality

Business law and practice

Civil litigation

Property law

Conveyancing

Equitable rights and obligations

Financial services regulation

Human rights and equality legislation

Rules of criminal law

Taxation

Wills and probate

Criminal litigation

Constitutional law



79

Figure 8: Practitioners: Appropriateness of the term 'awareness' (%)

Q6. How appropriate is the term ‘awareness’ in describing the level of the broad base of legal knowledge required by solicitors to practise? Base: All respondents – 1070

Where practitioners said that ‘awareness’ was inappropriate, they were sked ‘Why do you

feel it is inappropriate’.

Responses to this question basically gave two main types of response:

That the term ‘awareness’ is too vague and lacks meaning or precision.

Or that ‘awareness’ does not demand a sufficient level of practitioners’

knowledge of the law in areas other than those in which they are specialist.

Some example responses which express these points are set out below:

‘It is important to have a knowledge of the broad base of legal knowledge. In order to

advise effectively, one must be able to refer to all relevant aspects of law - and these

may not be limited to one or two specific areas. Each client has different needs and

in order to obtain effective advice, needs a lawyer who knows what other types of

remedy will be available. Even if this is not the area of practice of the legal adviser,

with a broad knowledge, s/he will be able to obtain assistance from or referrals to

specialists in those other areas. Each practice area is related to others and the legal

profession must be seen as a whole, not as small segments of specialists who only

have knowledge of their own area of practice.’

‘Sounds a bit fluffy - how deep does than awareness need to go. I am aware of lots of

things, but I don't know what their relative importance of them might be in certain

situations. Needs a term that quantifies the relevant extent of knowledge required,

e.g. 'current working knowledge of' or similar’.

‘We need more than an awareness: the man in the street has an "awareness" of

what a will is or criminal law. As trained practitioners we should be expected to have

more than that even if it isn't our specialist area.’

26

58

10

1

5

83

11

Very appropriate

Appropriate

Inappropriate

Very inappropriate

Don't know/Not provided

Summary: Appropriate

Summary: Inappropriate


80

‘To me, awareness is a knowledge that something exists. The knowledge required by

solicitors not only requires them to know that something exists, but also to know

when it might be applicable, how it interacts with their specialism and to know it in

sufficient detail to be able to make a judgment call on whether it may be applicable to

the matter in hand.’

‘Too vague. I am aware of sub-atomic particles, I know nothing about them. The

same point arises with the use of the word here. As such it leaves a hostage to

fortune in terms of claims and regulation.’

Practitioners – differences between sub-groups

81

5 Practitioners – differences between sub-groups

5.1 Introduction

It is important that any final Competence Statement should be perceived as accurate and

effective by the profession as a whole, not just by some groups within it. The following

sections consider how views on the elements of the Statement differed by sub-groups of

practitioners (by gender, age, ethnicity, organisation type, and main area of practice).

Comparative views are summarised in Tables which show the response to each of the

elements of the Statement by the relevant sub-groups of practitioners. The Tables present

the proportion rating each element as ‘critical’ to being a competent solicitor, and the same

information in relation to their own personal practise of law on a day-to-day basis.

The average ratings are also shown at the bottom of each Table.

5.2 Gender

5.2.1 Characteristics

However, before examining the difference in views between men and women, some

descriptive characteristics of these two groups are set out. Female practitioners tended to

be younger than male practitioners (57% aged up to 44 cf. 34%, and 29% aged up to 34 cf.

14%). Consequently, they have been qualified for a shorter period of time, as shown in the

Table below, with two in five (40%) qualified for up to 10 years, compared to a quarter (24%)

of men.

Table 26: Number of years qualified as a solicitor (all practitioners by gender)

Total Male Female

Less than 1 year 4% 2% 6%

1 - 5 years 14% 13% 17%

6 - 10 years 13% 9% 17%

11 - 20 years 26% 23% 30%

21 - 30 years 22% 23% 21%

Over 30 years 16% 26% 5%

Not provided 5% 4% 5%

Unweighted bases (1070) (545) (497)

NB. Shading indicates statistically significant differences at the 95% level of confidence

Corresponding to their shorter periods of practice, female practitioners were more likely than

their male counterparts to be practising solicitors (70% cf. 49%), and less likely to be

partners (22% cf. 41%) or directors (8% cf. 13%). Women were less likely to be in private


82

practice than men (75% cf. 81%), and were also less likely to practise in the following areas

of law, as illustrated in the Figure below:

Business and commercial affairs (27% cf. 44%);

Dispute resolution/civil litigation (23% cf. 30%);

Commercial property (15% cf. 24%);

Residential conveyancing (9% cf. 14%);

Immigration (2% cf. 5%).

Table 27: Areas of law in which currently practice (all practitioners by gender) (mentions 2% or more)

Total Male Female

Business and commercial affairs 36% 44% 27%

Dispute resolution/Civil litigation 26% 30% 23%

Commercial property 20% 24% 15%

Employment law 14% 16% 13%

Probate, wills and trusts 12% 13% 11%

Residential conveyancing (transfer of title of property)

12% 14% 9%

Crime 10% 12% 8%

Family law (including matrimonial and child care law)

10% 9% 12%

Personal injury, accident, medical negligence

10% 12% 9%

Pensions/insurance/tax/financial (not personal)

9% 9% 10%

Regulation / compliance / governance (inc. human rights)

6% 4% 7%

Consumer problems / Consumer Rights 5% 5% 5%

Personal bankruptcy, personal insolvency, and debt

3% 4% 2%

Immigration 3% 5% 2%

Welfare benefits and social security rights/ health

2% 2% 3%

Charity 2% 1% 3%

Intellectual property 2% 2% 2%

Planning 2% 2% 1%

Procurement/contract law 2% 2% 2%

Public law (inc. constitutional) 2% 2% 2%




83

5.2.2 Importance of elements of the Statement

Comparative views are summarised in the Tables below which show the response to each of

the elements of the Statement by male and female practitioners. The Tables present the

proportion rating each element as ‘critical’ to being a competent solicitor, and the same

information in relation to their own personal practise of law on a day-to-day basis.

In each instance, green shading indicates the six elements rated as critical by the greatest

proportions, and red shading the six elements rated as critical by the smallest proportions,

within each sub-group. Figures in bold signify statistically significant differences between

sub-groups at the 95% level of confidence.


Overall (see Table 28), women were significantly more likely to award higher ‘critical’ ratings

on the ‘important to being a competent solicitor’ items. They more frequently gave these

high ratings to all 18 items and the average frequency of giving the ‘critical’ rating was

significantly higher, at 53% compared with 47% for men.

The same effect (see Table 29) was observed in respect of the ‘important to personal

practice’ ratings but to a somewhat lesser extent.

However, within these overall differences, the priority given to particular elements was

mainly shared by the groups (as shown by the commonality of green and red shading across

the two groups).


84

Table 28: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by gender)9

Total Male Female

A. Ethics, professionalism and judgement.

Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct

68% 66% 70%

Maintaining sufficient competence and legal knowledge to practise effectively

56% 51% 61%

Working within the limits of their knowledge, competence and available supervision

64% 61% 67%

Drawing on both an awareness of a broad base of legal knowledge and sufficient detailed knowledge and understanding of their field(s) of work and context in order to practise effectively

57% 53% 62%

Applying understanding, critical thinking and analysis to solve problems

54% 50% 60%

B. Technical legal practice.

Undertaking legal research 40% 35% 44%

Undertaking factual research 45% 39% 51%

Developing, communicating and advising on options, strategies and solutions

61% 56% 68%

Drafting documents which are legally accurate and effective 54% 50% 59%

Undertaking effective spoken and written advocacy 36% 34% 39%

Negotiating solutions to the client's issues 44% 39% 50%

Planning, managing and progressing legal matters and transactions 42% 38% 47%

C. Managing themselves and their own work.

Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, both in relation to their own work and work that they lead or supervise

58% 54% 61%

Keeping, using and maintaining accurate, complete and clear records

53% 50% 56%

Applying good business practice 40% 37% 43%

D. Working with other people.

Communicating clearly and effectively, orally and in writing 54% 48% 60%

Establishing and maintaining effective and professional relations with clients

59% 54% 65%

Establishing and maintaining effective and professional relations with others

43% 39% 47%

Average rating 52% 47% 56%


9 Green shading indicates the six elements rated as critical by the greatest proportions, and red

shading the six elements rated as critical by the smallest proportions, within each sub-group. Figures in bold signify statistically significant differences between sub-groups at the 95% level of confidence.


85

Table 29: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by gender)10

Total Male Female



53% 53% 54%


51% 45% 58%


52% 49% 57%


54% 50% 59%


56% 50% 60%





61% 56% 66%







57% 54% 60%


54% 52% 57%





58% 54% 64%


45% 42% 49%



10

Green shading indicates the six elements rated as critical by the greatest proportions, and red shading the six elements rated as critical by the smallest proportions, within each sub-group. Figures in bold signify statistically significant differences between sub-groups at the 95% level of confidence.


86

5.2.3 Adequacy and ease of understanding of the Statement by gender

In overall terms, the majority of both male and female practitioners regarded the Statement

as adequate. Women were more likely than men to feel it was ‘totally adequate’ (25%

compared to 19%).

Figure 9: Practitioners: Adequacy of the Statement by gender (%)


Similarly, the majority of both male and female practitioners rated the Statement as being

clear, with women again being somewhat more positive. In this case, the proportions giving

a lower rating, scores of 1 to 6, were more frequent.

Figure 10: Practitioners: Ease of understanding the Statement by gender (%)


5.3 Age


the elements of the Statement by age of practitioner. The Tables present the proportion

rating each element as ‘critical’ to being a competent solicitor, and the same information in

relation to their own personal practise of law on a day-to-day basis.


proportion, and red shading the six elements rated as critical by the smallest proportion




19

25

27

31

27

25

12

8

9

7

4

3

2

1

Male (545)

Female (497)

10 (Totally adequate) 9 8 7 6 to 5 4 to 1 (Totally inadequate) Not provided

24

28

19

21

21

22

12

11

14

9

8

8

2

2

Male (545)

Female (497)

10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear) Not provided


87

There were few significant differences in the frequency of ‘critical’ ratings given to the

different elements of the Statement by different age groups of respondents on either the

‘important to being a competent solicitor’ or the ‘important to personal practice’ measures

(see following Figures). Average frequencies, correspondingly, were not greatly different.

As with gender, prioritisation of elements tended to be shared in most cases.


88

Table 30: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by age)11

Total

Under 35

35 to 54

55 or over



68% 64% 67% 76%


56% 64% 56% 50%


64% 61% 63% 69%


57% 62% 58% 53%


54% 57% 54% 54%


Undertaking legal research 37% 43% 35% 37%

Undertaking factual research 44% 46% 42% 44%


65% 61% 62% 65%

Drafting documents which are legally accurate and effective 59% 54% 51% 59%

Undertaking effective spoken and written advocacy 31% 39% 36% 31%

Negotiating solutions to the client's issues 43% 46% 41% 43%

Planning, managing and progressing legal matters and transactions

39% 44% 40% 39%



58% 58% 57% 58%


53% 52% 55% 51%

Applying good business practice 40% 34% 41% 44%


Communicating clearly and effectively, orally and in writing 54% 54% 55% 52%


59% 65% 60% 55%


43% 38% 44% 46%

Average rating 52% 52% 52% 51%

Unweighted bases (1070) (197) (564) (255)

11



89

Table 31: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by age)12

Total

Under 35

35 to 54

55 or over



53% 42% 52% 64%


51% 56% 51% 48%


52% 49% 53% 57%


54% 55% 56% 50%


56% 57% 54% 54%


Undertaking legal research 35% 31% 37% 33%

Undertaking factual research 44% 41% 46% 41%


61% 63% 61% 60%


Undertaking effective spoken and written advocacy 33% 30% 37% 31%



44% 41% 47% 41%



57% 59% 57% 56%


54% 52% 58% 49%

Applying good business practice 37% 27% 38% 44%




58% 62% 60% 54%


45% 39% 47% 47%


Unweighted bases (1070) (197) (564) (255)

12



90

5.3.1 Adequacy and ease of understanding of the Statement by age

Overall, the majority of practitioners of all ages regarded the Statement as adequate.

However, perceived adequacy reduced directionally (but marginally) with the age of the

respondent.

Figure 11: Practitioners: Adequacy of the Statement by age (%)


Similarly, the majority of practitioners of all ages rated the Statement as being easy to

understand. However, in this case, larger minorities of around a fifth gave a lower, 1-6

rating.

Figure 12: Practitioners: Ease of understanding the Statement by age (%)


5.4 Ethnicity


BME practitioners had a younger profile than White practitioners, with 66% being aged up to

44, compared to 46%. One in ten (11%) were aged 55 or over, compared to a quarter (24%

of White practitioners.

Consequently they have been qualified for a shorter period of time, as shown in the Table

below, with two in five (38%) qualified for up to 10 years, compared to a fifth (17%) of White

20

22

23

34

29

25

27

26

27

10

9

12

6

9

6

2

3

6

1

1

2

Under 35 (197)

35 to 54 (564)

55 and over (255)


25

27

24

16

21

22

22

23

19

17

10

11

12

10

15

8

8

7

1

1

3

Under 35 (197)

35 ot 54 (564)

55 and over (255)



91

practitioners, and one in ten (9%) qualified for over 20 years, compared to two in five (40%)

of White practitioners.

Table 32: Number of years qualified as a solicitor (all practitioners by ethnicity)

Total White BME

Less than 1 year 4% 4% 6%

1 - 5 years 14% 13% 32%

6 - 10 years 13% 13% 16%

11 - 20 years 26% 26% 31%

21 - 30 years 22% 23% 5%

Over 30 years 16% 17% 4%

Not provided 5% 4% 6%



Correspondingly, BME practitioners were less likely than their White counterparts to be

partners (23% cf. 33%).

In terms of the areas of law in which they practise, BME practitioners were more likely than

White practitioners to practise in the area of immigration (20% cf. 1%), family law (17% cf.

10%) and personal bankruptcy/insolvency/debt (8% cf. 3%).

Over half (56%) of BME practitioners were based in London (cf. 30% of White practitioners),

and a further one in ten (11%) in the South East.



the elements of the Statement by practitioner ethnicity. The Tables present the proportion

rating each element as ‘critical’ to being a competent solicitor, and the same information in

relation to their own personal practise of law on a day-to-day basis.






BME practitioners were more likely than their white counterparts to give ‘critical’ ratings on

both the ‘important to being a competent solicitor’ and ‘important to personal practice’

measures (see following Figures). The average ratings for the different elements were

higher for BME practitioners in each case.

However, as in the previous comparisons by gender and age, the prioritisation of the

different elements was largely shared by the groups.


92

Table 33: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by ethnicity)13

Total White BME



68% 69% 68%


56% 57% 58%


64% 65% 62%


57% 57% 70%


54% 55% 60%





61% 63% 66%







58% 59% 63%


53% 53% 61%





59% 60% 69%


43% 43% 50%



13



93

Table 34: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by ethnicity)14

Total White BME



53% 53% 53%


51% 51% 59%


52% 53% 55%


54% 53% 64%


56% 55% 60%





61% 62% 64%







57% 59% 61%


54% 54% 60%





58% 59% 71%


45% 45% 52%



14



94

5.4.3 Adequacy and ease of understanding of the Statement

The majority of both White and BME practitioners regarded the Statement as adequate, with

no significant difference between the two groups in this respect.

Figure 13: Practitioners: Adequacy of the Statement by ethnicity (%)


Similarly, the majority of both White and BME practitioners rated the Statement as being

clear, although, again, a significant minority of both groups provided a rating of ‘1 (extremely

unclear) to 6’ in this respect (19% and 17%, respectively).

Figure 14: Practitioners: Ease of understanding the Statement by ethnicity (%)


5.5 Type of practice


In-house solicitors, who accounted for 22% of respondents after weighting, were more likely

to have been qualified for a shorter time than solicitors working in private practice or the

public sector, with two in five (40%) qualified for up to 10 years, compared to 30%.

Their main areas of law were:

Business and commercial affairs (76% cf. 31% of non-in house solicitors);

Dispute resolution/litigation (37% cf. 24%);

Employment law (24% cf. 13%);

Commercial property (17% cf. 21%);

23

20

28

37

27

24

9

10

8

8

4

1

1

1

White (851)

BME (110)


26

30

20

22

22

16

11

14

12

8

7

9

2

1

White (851)

BME (110)



95

Consumer problems/rights (13% cf. 4%).

Half (49%) of in-house solicitors were based in London, compared to 30% of their

counterparts.



the elements of the Statement by type of practice. The Tables present the proportion rating

each element as ‘critical’ to being a competent solicitor, and the same information in relation

to their own personal practise of law on a day-to-day basis.

Again, In each instance, green shading indicates the six elements rated as critical by the

greatest proportions, and red shading the six elements rated as critical by the smallest

proportions, within each sub-group. Figures in bold signify statistically significant differences

between sub-groups at the 95% level of confidence.


In this case, in-house solicitors less frequently gave ‘critical’ ratings than did private practice

solicitors, both on the ‘important to being a competent solicitor’ and the ‘important to

personal practice’ measures (see following Tables). The difference between the two groups

was somewhat greater in respect of the ‘important to personal practice’ measure.

Some of the significant differences on individual elements presumably reflect the difference

between in-house and ‘independent’ roles. For example, in-house solicitors were markedly

less likely to see ‘establishing and maintaining effective and professional relations with

clients’ and ‘applying good business practice’ as critical.

Despite such variations however, there was substantial commonality in the priority given to

the different elements (in terms of the frequency or ‘critical’ ratings in respect of each).


96

Table 35: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by type of practice)15

Total

In-house

Private practice



68% 71% 67%


56% 60% 55%


64% 58% 65%


57% 59% 57%


54% 58% 54%





61% 60% 61%







58% 54% 58%


53% 44% 54%





59% 52% 60%


43% 43% 43%



15



97

Table 36: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by type of organisation)16

Total In-

house Private practice



53% 49% 53%


51% 46% 52%


52% 45% 53%


54% 53% 54%


56% 58% 54%





61% 51% 63%







57% 50% 58%


54% 48% 55%





58% 45% 60%


45% 41% 46%



16



98

5.5.3 Adequacy and ease of understanding of the Statement by type of practice

Overall, the majority of both groups of practitioners regarded the Statement as adequate,

with no significant difference between the two groups in this respect:

Figure 15: Practitioners: Adequacy of the Statement by type of practice (%)


While the majority of both groups rated the Statement as being easy to understand, those

not working in-house were more likely to be somewhat more negative in their perceptions on

this measure – these solicitors less frequently gave high ratings and more frequently gave

low ones:

Figure 16: Practitioners: Ease of understanding the Statement by type of practice (%)


5.6 Area of law

In terms of area of law, those working in consumer problems/rights were more likely than

those working in other areas of law to give ‘critical’ ratings on both the ‘important to being a

competent solicitor’ and ‘important to personal practice’ measures, with the average ratings

for the different elements being higher among this group in each case.

However, the base for this group is relatively small (60 cases) and it may be that the

apparent difference is a sampling effect rather than an objective difference. More generally

there was little to systematically distinguish the different areas of practice and, as in previous

analyses in this section, priorities given to the different elements were broadly similar across

the various groups (see Tables 37 and 38).

21

22

30

28

28

26

11

10

7

8

3

4

<0.5

2

In-house (174)

Private practice (860)


30

25

21

19

24

22

9

11

9

12

5

8

2

2

In-house (174)

Private practice (860)



Table 37: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by area of law)17

To

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A. Ethics, professionalism and judgment


68% 71% 65% 72% 73% 68% 71% 71% 71% 70% 69% 77% 75% 71% 66%


56% 56% 58% 56% 67% 52% 58% 56% 50% 57% 50% 50% 51% 59% 54%


64% 62% 64% 68% 75% 63% 64% 70% 61% 62% 63% 69% 55% 68% 54%


57% 57% 61% 59% 69% 55% 59% 64% 64% 54% 55% 59% 71% 48% 59%


54% 56% 60% 54% 58% 54% 51% 57% 52% 46% 48% 53% 51% 56% 56%


Undertaking legal research 40% 40% 42% 41% 46% 40% 38% 42% 35% 37% 43% 43% 41% 46% 32%

Undertaking factual research 45% 44% 53% 41% 58% 44% 43% 46% 45% 51% 45% 42% 51% 46% 37%


61% 62% 66% 57% 76% 55% 62% 63% 62% 59% 59% 60% 51% 62% 50%

Drafting documents which are legally accurate and effective

54% 57% 52% 59% 63% 45% 51% 58% 48% 54% 54% 60% 53% 60% 44%

Undertaking effective spoken and written advocacy

36% 31% 36% 35% 50% 52% 38% 48% 38% 42% 39% 37% 52% 35% 40%

17



To

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Negotiating solutions to the client's issues 44% 49% 46% 44% 59% 31% 43% 50% 42% 39% 42% 43% 35% 51% 27%


42% 43% 40% 45% 45% 33% 38% 45% 34% 40% 45% 52% 46% 40% 36%

C. Managing themselves and their own work


58% 59% 59% 62% 63% 50% 61% 55% 54% 60% 56% 61% 57% 64% 55%


53% 53% 57% 51% 59% 57% 53% 59% 52% 58% 56% 54% 54% 55% 52%

Applying good business practice 40% 36% 44% 42% 44% 46% 35% 52% 41% 48% 46% 51% 44% 33% 40%


Communicating clearly and effectively, orally and in writing

54% 53% 55% 56% 63% 53% 56% 58% 45% 52% 59% 60% 53% 57% 49%


59% 56% 57% 59% 72% 61% 59% 69% 58% 62% 59% 65% 58% 60% 49%


43% 42% 46% 44% 51% 41% 46% 49% 39% 40% 43% 50% 46% 43% 47%

Average rating 52% 52% 53% 53% 61% 50% 51% 56% 50% 52% 52% 55% 52% 53% 47%

Unweighted Bases (1070) (391) (286) (212) (60) (120) (172) (127) (37) (114) (145) (140) (41) (92) (62)


Table 38: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by area of law)18

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A. Ethics, professionalism and judgment


53% 52% 52% 56% 55% 59% 60% 62% 55% 55% 58% 63% 65% 54% 59%


51% 49% 53% 50% 60% 52% 55% 54% 50% 48% 51% 50% 55% 50% 53%


52% 48% 54% 55% 55% 55% 52% 60% 45% 55% 56% 62% 46% 49% 47%


54% 54% 56% 56% 62% 51% 55% 57% 56% 49% 52% 55% 59% 46% 53%


56% 60% 64% 53% 63% 60% 60% 55% 50% 47% 45% 48% 43% 58% 65%


Undertaking legal research 35% 32% 40% 35% 40% 37% 36% 36% 29% 33% 33% 32% 44% 37% 34%

Undertaking factual research 44% 38% 54% 39% 52% 50% 44% 43% 36% 55% 42% 36% 49% 46% 41%


61% 61% 64% 56% 70% 55% 65% 60% 57% 57% 53% 54% 58% 60% 51%


57% 62% 53% 61% 66% 45% 54% 57% 47% 51% 61% 62% 55% 61% 50%

18



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C. Managing themselves and their own work

Undertaking effective spoken and written advocacy

33% 24% 37% 23% 43% 63% 37% 50% 38% 46% 31% 27% 52% 32% 42%

Negotiating solutions to the client's issues 43% 50% 50% 41% 60% 26% 47% 49% 45% 43% 37% 38% 38% 51% 29%


44% 45% 43% 43% 49% 33% 40% 43% 36% 45% 44% 47% 42% 53% 46%


57% 57% 61% 57% 63% 49% 61% 56% 58% 65% 55% 58% 55% 64% 55%


54% 54% 56% 49% 61% 60% 54% 58% 50% 62% 57% 56% 58% 61% 62%

Applying good business practice 37% 33% 42% 40% 40% 37% 37% 45% 43% 51% 48% 51% 47% 35% 42%



56% 56% 54% 54% 61% 58% 57% 57% 48% 54% 60% 57% 55% 62% 53%


58% 53% 59% 56% 73% 62% 60% 66% 63% 60% 62% 62% 58% 59% 54%


45% 44% 47% 46% 54% 44% 47% 51% 41% 45% 48% 53% 51% 45% 51%

Average rating 49% 48% 52% 48% 57% 50% 51% 53% 47% 51% 50% 51% 52% 51% 49%

Unweighted Bases (1070) (391) (286) (212) (60) (120) (172) (127) (37) (114) (145) (140) (41) (92) (62)

Main Findings – Individual consumers

103

6 Main Findings – Individual consumers

6.1 Introduction

An important element of this study was to explore the perceptions of individual consumers of

solicitors’ services. An individual consumer for the purposes of the study was defined as

someone who had personally used the services of a solicitor within the last three years.

A total of 503 respondents in the on-line survey of individual consumers were asked to rate

each specific element of the Statement in turn, in relation to how important the aspect was to

being a competent solicitor (on a scale of 1 to 10 where 1 was 'No importance' and 10 was

'Critical'). They were also asked whether they thought each element had omissions and/or

needed amendments or clarification and to add any comments they wished to make. Most

comments received comprised consumer observations on the service they had received

from their solicitors and do not greatly assist the study. However, a small number of

comments were made which are more helpful to the objectives of the research and these are

inserted in the chapter at the appropriate points.

After responding about each of the elements in turn, respondents were asked to provide

their overall views on the Statement, specifically in terms of its adequacy and how easy it

was to understand. These questions were also asked on 1 to 10 scales. Again respondents

were able to explain or comment on these issues and the more instructive comments are

selected for inclusion in the chapter.


judgement

The elements of the Statement within the area of ‘ethics, professionalism and judgement’

which were seen as most critical to being a competent solicitor were ‘acting in accordance

with the law and with the regulatory requirements’ and ‘maintaining sufficient competence

and legal knowledge to practise effectively’ (both were rated as ‘critical’ by 68% of

respondents), followed by ‘having a broad base of legal knowledge to draw on/having a

detailed understanding of their specific field(s) of work’.

In contrast, ‘avoiding working outside their area of knowledge and competence’ and ‘using

understanding, critical thinking and analysis to solve problems’ were seen as critical by fewer

respondents (37% and 39%, respectively):


104

Figure 17: Individual consumers: Importance of ethics, professionalism and judgement (%)

A1-5. How important is this aspect to being a competent solicitor? Base: All respondents – 503

When asked if they thought these aspects had any omissions and/or needed any

amendments or clarification, the proportion who felt that they ranged from one in ten (9%) in

relation to ‘having a broad base of legal knowledge to draw on and having a detailed

understanding of their specific field(s) of work’ to one in seven (15%) in relation to ‘acting in

accordance with the law and with the regulatory requirement for solicitors’.

Table 39: Individual consumers: proportion feeling aspects of ‘ethics, professionalism and judgement’ have omissions and/or need amendments or clarifications

Acting in accordance with the law and with the regulatory requirements for solicitors

15%


12%

Avoiding working outside their area of knowledge and competence

13%

(a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding of their specific field(s) of work

9%

Using understanding, critical thinking and analysis to solve problems

11%

A small selection of comments made by individual consumers on these elements is set out in

the next Table:

68

68

37

56

39

13

13

19

22

21

8

9

17

12

21

5

3

10

4

11

4

4

10

4

5

1

1

4

1

2

1

1

3

2

2

1. Acting in accordance with the law and with the regulatory requirements for solicitors


3. Avoiding working outside their area of knowledge and competence

4. (a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding

of their specific field(s) of work

5. Using understanding, critical thinking and analysis to solve problems



105

Table 40: Individual consumer comments on elements concerned with ethics, professionalism and judgement


I think that there should be something along the lines of being fully transparent in their dealings so that it is obvious that they are acting as above.

There should be a code of conduct that says that solicitors must act in the spirit of the law as well as the letter of the law.

Next to a doctor, the solicitor is one of the professionals who you rely upon to show a high level of ethics and professionalism because his/her decisions could have far reaching effects on your life and in some cases your liberty.

My only thought is that I would regard it as fundamentally important that the lawyer acted in accordance with the law, as compared with regulation, no matter how important that might be in its own right. I think the supremacy of the law should be acknowledged.


This is a difficult area to judge - most people not working with the law would have little idea of what the parameters are.

I would omit the word ‘sufficient’ as it suggests a lower standard than excellent is required.

As it goes this is obviously reasonable, but what may in general terms be effective, is not necessarily so in specific cases - the competence should relate to the case in hand, not just generally as this suggests.


We can only hope that the person we speak to is competent in the area that we require but are not told.

Is there not ever a situation where one might need to work outside of their area of knowledge? Surely working outside of your area of knowledge allows for development?

They need to provide more wide knowledge other than their own area of knowledge, as most people may not be able to understand this area.

Solicitors should specialise or refer you to someone who knows the area of law you need.

Even though it may be work outside their knowledge, they should be able direct the questions to proper people or proper channels.

It depends on the subject and degree of involvement, eg. giving an opinion "based on their perhaps limited knowledge" is quite different to giving you advice and expecting you to take it without making you aware that their knowledge/competence on the subject matter isn't up to speed.

Should be clarified. Should solicitors not be allowed to master new areas of expertise? How can they do this if not allowed to work in new areas?

I think that a solicitor should be an expert in their chosen area, but at the same time if they were involved in another field it may help their overall knowledge.

I am in two minds about this. If people avoid working in other areas, they will never learn anything new and could become stagnant in their career.

Knowledge can be acquired beforehand, but competency comes with doing the job. A degree of oversight is therefore needed so that solicitors can increase their range of skills.


106


What does a 'broad base' mean? Again not very clear or meaningful.

Solicitors should be trained regularly to keep up with the changes in the law

I would amend to 'having a broad base of legal knowledge and/or competent associates to draw on'. This means that even if it is not in their area of expertise, they can utilise the knowledge and experience of appropriate colleagues. This would then cover relatively recently qualified people who could learn from their superiors.


The statement is a little vague


The most important aspect of technical legal practice, as rated by consumers, was ‘drafting

documents which are legally accurate and effective’ (72% rated as ‘critical’), while the least

important was ‘undertaking factual research’ (40% rated as ‘critical’). All other aspects in this

area were rated as ‘critical’ by around half (51%-54%) of respondents:

Figure 18: Individual consumers: Importance of technical legal practice (%)

B1-7. How important is this aspect to being a competent solicitor? Base: All respondents – 503


amendments or clarification, around one in ten in each instance felt that they did.

51

40

51

72

53

54

52

18

16

21

11

18

19

18

15

21

14

7

12

13

15

7

7

5

3

7

7

7

5

8

5

4

4

3

5

2

3

1

2

1

2

2

2

5

2

2

4

2

2

1. Undertaking legal research (e.g. looking up regulations, precedents and cases)

2. Undertaking factual research (e.g. using interviews, questioning and information search)

3. Developing, communicating and advising on options, strategies and solutions relevant to the

client


5. Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of

the client)

6. Negotiating solutions to the client’s issues




107

Table 41: Individual consumers: proportion feeling aspects of ‘technical legal practice’ have omissions and/or need amendments or clarifications

Undertaking legal research (e.g. looking up regulations, precedents and cases)

11%

Undertaking factual research (e.g. using interviews, questioning and information search)

11%

Developing, communicating and advising on options, strategies and solutions relevant to the client

12%

Drafting documents which are legally accurate and effective 8%

Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)

11%

Negotiating solutions to the client’s issues 11%


11%

A small selection of comments made by individual consumers on these elements is set out in

the next Table:

Table 42: Individual consumer comments on elements concerned with technical legal practice


This statement should be extended to their legal team/employees that may well do the actual research on behalf of the solicitor.

The solicitors themselves do not need this but it is essential they have access to those able to do this. Research is a speciality in itself.

In my case the solicitor only told me what I found out myself on the internet - I expected a lot more from the expert.

How will this be independently checked/monitored?


I don't see how this significantly differs from the previous question. Perhaps all research could be combined in one statement.


It speaks for itself. If, that is, the practitioner can be bothered to do it properly!

Documents provided to clients need to be in plain English rather than tortuous legalese which is hard to understand and might only be interpreted by another solicitor.

Not only accurate and effective but ALSO well explained.

The problem is that this can only be measured when errors lead to further problems a long time down the line. How do you judge, how do you measure?

What system of independent check is there to confirm that this has been carried out


108

correctly?

I would change it to drafting relevant legal documents which accurately reflect the client’s needs. It could also be worded to the affect "Ensure that all documents produced comply with the law and are relevant to the needs of the client". This would then include any document drawn up by their staff (secretaries for example).


Advocacy not required in recent dealings with solicitor.

Estate/will writing – my solicitor didn't need to argue a point of law on my behalf.

Not needed in my case.

Not everything is advocacy: insert "where appropriate".

This would need to be "where applicable" i.e. it may not be required in conveyancing.

Client's view: If you win its effective, if you lose it isn't.

This was not needed in my case.

My task did not require this; ie. a will

Not always relevant to legal proceedings.

Irrelevant for our situation.

Negotiating solutions to the client’s issues

And demonstrating that these solutions are in the client's best interests.

I don't really like the word ‘negotiate’, it suggests that they might lower any pay-out to their client to reach a compromise, rather than fight for the maximum for their client.


Could mention here expedition of cases. Sometimes solicitors seem to work to their own timetable rather than that of the client.

Keep the client informed every step of the way, instead of the client chasing the solicitor.

Impeccable management skills from organisation, time management, ability to solve problems, and be able to focus on achieving milestones with back-up plans.

Perhaps some reference to completing work within a reasonable or agreed timeframe.

I would add 'in a timely manner'.

6.4 Competence Statement Section C: Managing themselves and their

own work

‘Keeping accurate, complete and clear records’ was viewed as most important in the area of

solicitors managing themselves and their own work, with 63% rating this as ‘critical’. Just

over half believed that ‘managing work activities to ensure that they are completed on time

and to an appropriate standard’ and ‘working in accordance with good business practice’

were ‘critical’ (53% and 52%, respectively) to being a competent solicitor:


109

Figure 19: Individual consumers: Importance of managing themselves and their own work (%)

C1-3. How important is this aspect to being a competent solicitor? Base: All respondents – 503


amendments or clarification, around one in seven (14%) felt this was the case in relation to

‘managing work activities to ensure that they are completed on time and to an appropriate

standard’, and one in ten felt this was the case in relation to ‘keeping accurate, complete and

clear records’ (8%) and ‘working in accordance with good business practice’ (9%):

Table 43: Individual consumers: proportion feeling aspects of ‘managing themselves and their own work’ have omissions and/or need amendments or clarifications

Managing work activities to ensure that they are completed on time and to an appropriate standard

14%

Keeping accurate, complete and clear records 8%

Working in accordance with good business practice 9%

Some individual consumer comments on these elements are shown in the following Table:

Table 44: Individual consumer comments on elements concerned with solicitors’ management of themselves and their work


And giving the client a realistic timescale for completion.

There should be a timescale for straightforward transactions.

Sometimes need to work smarter as time is not always of the essence to them, although it is of paramount importance to the client.

What happens to them if they don't? The client still has to pay for longer service.

53

63

52

21

16

19

14

10

14

6

5

7

3

3

4

2

2

2

1

2

2

1. Managing work activities to ensure that they are completed on time and to an appropriate

standard

2. Keeping accurate, complete and clear records

3. Working in accordance with good business practice



110

Subject to the support of the practice manager to allocate suitable time to the member of their team to be able to prepare for the client. There is often too heavy a work load on staff.

I overuse the word appropriate as it has a useful level of ambiguity. However, I can't think of anything more appropriate.

How will this be monitored and checked? How will the client be able to see that this managing has been undertaken fairly for each client?

Keeping accurate, complete and clear records

Should be able to justify fees charged with accurate records. Also, should give reasonably accurate estimate of how much a procedure will cost.

All solicitors should have spot checks so that they are not doing their clients out of money and charging them too much.

Should this be done at assistant level?

Assuming that there will be records kept, how will the client have access to these and will such records be able to be "amended" after they have been logged/written? It is of no use to have these open to being manipulated after an "event"!

Working in accordance with good business practice

Is good good enough? Maybe a higher test is needed.

Good "current" business practices, as sometime the legal world can seem rather old fashioned, and bound up in the past ways of doing things, especially around new technology.

Again rather vague.

What the hell is "good business practice"? Who will set out the definition? How will this be monitored?

What is good business practice?


The aspect perceived as most important to being a competent solicitor in relation to working

with other people was ‘communicating clearly and effectively, orally and in writing’, rated as

‘critical’ by two-thirds (66%) of consumers. The second most important aspect was

‘establishing and maintaining effective and professional relations with clients’, which was

rated as ‘critical’ by 52% of consumers. The least important aspect in this area was

‘establishing and maintaining effective and professional relations with colleagues and other

people’, which was rated as ‘critical’ by 38% of consumers:


111

Figure 20: Individual consumers: Importance of working with other people (%)

D1-3. How important is this aspect to being a competent solicitor? Base: All respondents – 503


amendments or clarification, around one in eight (13%) felt this was the case in relation to

‘communicating clearly and effectively, orally and in writing’, and one in ten felt this was the

case in relation to ‘establishing and maintaining effective and professional relations with

clients’ (10%) and ‘establishing and maintaining effective and professional relations with

colleagues and other people’ (9%):

Table 45: Individual consumers: proportion feeling aspects of ‘working with other people’ have omissions and/or need amendments or clarifications

Communicating clearly and effectively, orally and in writing 13%


10%

Establishing and maintaining effective and professional relations with colleagues and other people

9%

A small number of individual consumers’ comments on these aspects are set out in the

following Table:

Table 46: Individual consumer comments on elements concerned with solicitors’ effectiveness in working with other people


And checking that the client has understood the communication.

Good.

Too many written documents are written in solicitor jargon and difficult for the ordinary person to understand. I feel this needs to be made clearer.

Correspondence from solicitors can read like Double Dutch. I feel this could be a way of covering for their poor service and high charges.

66

52

38

15

19

24

10

16

19

4

7

9

2

3

5

2

2

2

1

1

3



3. Establishing and maintaining effective and professional relations with colleagues and other

people



112

Expressing orally and in writing by using plain English. The solicitor is preparing most important documents which when, handed to the client, is hard to understand because of phrases/legalese used.

Competence should also be in dealing with people for whom English is not their native tongue.

Some points that may not be something the client understands, should have an addendum explaining what it means.

Fewer people nowadays know correct English usage, syntax, grammar, and spelling. Shame!

‘Other people’ sounds wishy-washy. I would rephrase it as ‘… with each and every person and organisation they deal with’.

6.6 Overview of individual consumers’ ratings of the elements of the

Statement

The Figure overleaf provides a summary of the importance attributed to each element in

relation to being a competent solicitor (Figure 21).

The letters at the front of each element indicate which dimension of the Statement they

belong to, as indicated below:





The main point evident in the data set out in the Figure is that, on this ‘important to being a

competent solicitor’ measure, matters of technical legal practice tended to be less frequently

regarded as critical – except for the ‘drafting documents’ item which received the most

‘critical’ ratings of all items.


113

Figure 21: Individual consumers: Importance of different aspects to being a competent solicitor (%)

How important is this aspect to being a competent solicitor? Base: All respondents – 503

72

68

68

66

63

56

54

53

53

52

52

52

51

51

40

39

38

37

11

13

13

15

16

22

19

18

21

19

19

18

18

21

16

21

24

19

7

9

8

10

10

12

13

12

14

16

14

15

15

14

21

21

19

17

3

3

5

4

5

4

7

7

6

7

7

7

7

5

7

11

9

10

4

4

4

2

3

4

3

4

3

3

4

5

5

5

8

5

5

10

2

1

1

2

2

1

2

1

2

2

2

2

2

1

3

2

2

4

2

1

1

1

2

2

2

4

1

1

2

2

2

2

5

2

3

3



A1. Acting in accordance with the law and with the regulatory requirements for solicitors


C2. Keeping accurate, complete and clear records

A4. (a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding


B6. Negotiating solutions to the client’s issues

B5. Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of

the client) C1. Managing work activities to ensure that they

are completed on time and to an appropriate standard


C3. Working in accordance with good business practice


B1. Undertaking legal research (e.g. looking up regulations, precedents and cases)

B3. Developing, communicating and advising on options, strategies and solutions relevant to the

client

B2. Undertaking factual research (e.g. using interviews, questioning and information search)

A5. Using understanding, critical thinking and analysis to solve problems

D3. Establishing and maintaining effective and professional relations with colleagues and other

people

A3. Avoiding working outside their area of knowledge and competence



114

6.7 Individual consumers’ views on the Statement as a whole

6.7.1 Adequacy of the Statement

Individual consumers were asked to give their views on the Statement as a whole. They

were first asked to rate the Statement for its adequacy as a description of what a competent

solicitor needs to be able to do. Almost three in ten (29%) consumers rated the Statement

as ‘totally adequate’ (rating of 10), with a further 50% scoring it 8 or 9 in terms of its

adequacy. Fewer than one in ten (8%) provided a rating of between 1 and 6, and one in

twenty (5%) offered a response of ‘don’t know’:

Figure 22: Individual consumers: Adequacy of the Statement (%)

Q1. How would you rate the adequacy of the Statement overall as a description of what a competent solicitor needs to be able to do? Base: All respondents – 503

When asked to provide their reasons for their rating, over half (56%) of individual consumers

provided a response.

These responses, around 300 in number, were generally brief and often referred to

experience with the solicitor used in relation to their particular legal matter rather more than

to the Statement itself. However, examples of their comments can be grouped, as below.

A substantial number of responses were simply supportive of the Statement as being

adequate, in so far as these non-professional respondents were able to judge. Typical

examples were:

It seems to cover all aspects of what a solicitor should be doing on behalf of his/her

client.

I'm unfamiliar with legal procedures etc., but the statement seems to cover the duties

of a competent solicitor.

It appears very simple and straightforward not to mention obvious but I am not an

expert in matters of the law or dealing with it so I may be missing something here.

I think all the points you made were an absolute 'MUST " for a solicitor to adhere to.

As I worked for solicitors in the past and have had dealings with solicitors over the

years, I know how important all the above-mentioned are in making a good solicitor.

I would go to a Solicitor requiring a great understanding of my situation and the law

surrounding it. I would put my trust and faith entirely in their hands, so don't feel there

is room for anything other than a critical rating for most of the statements.

Covers most aspects of what the client expects albeit in very 'broad brush' terms -

presumably there are more detailed wordings under these bullet-type points.

29 28 21 8 6 2 5 Adequacy

10 (Totally adequate) 9 8 7 6 to 5 1-4 Don't know


115

Many individual consumers used the question simply to state what attributes, in their view,

were important in solicitors’ competence:

A competent solicitor should maintain a high standard in dealing with clients and

colleagues and comply with all legal aspects of their work.

It is critical that they do not make mistakes and that their contracts are water-tight.

Need to be sympathetic, knowledgeable, bright, and totally competent.

Solicitors need to be ethical, honest, and professional for the system to work.

Solicitors must be totally competent and reliable.

Solicitors need to be patient.

Solicitors need to be honest and competent. They need to know their legal field or to

be able to find out if they are not confident in an area.

Solicitors need to be very knowledgeable about the law.

A solicitor needs to be a guide and committed to being on your side, not just for the

fee.

Being a professional is all the aforementioned and more, there is no place for

slacking or ill-discipline in this field.

I think they also need sensitivity and skills in dealing with anxious or troubled clients.

It is important that good solicitor has knowledge, good attitude to other people and

acts in accordance to the law.

A solicitor should be competent , communicate efficiently and effectively and always

have their client’s needs meet and always act in their client’s best interest.

Some comments were oblique in relation to the Statement as such but indicated individual

consumers’ concerns about their interactions with solicitors which may have implicit meaning

for any revisions of the draft Statement. Particularly, the issue of solicitors’ costs and value-

for-money evidently framed some responses:

I think that there needs to be more about relating to the client in ways that the client can understand and putting the client more in control of the situation.

Solicitor's work can be costly, therefore value for money using their expertise is vital.

Consistency is needed in order to perform to best of ability.

In my experience, our solicitor did not consider herself bound by anything outside of

her own field of priorities. Solicitors like her need to understand that what to them is a

living is for others quite often life-changing period. Rules are needed not something

that can be considered or interpreted as guidelines.

In my opinion, it seems clear and appears to cover every aspect of a solicitor’s role in

dealing with clients and other professionals as well as dealing with legal matters and

sensitive documents. Perhaps there could be something about integrity required

when handling money - especially when handling money on behalf of a client (such

as a house move), and also when charging for services.

It is difficult to assess how much information should always be provided by the

solicitor as too many details will inevitably raise the cost.


116

Sometimes feel ignored. They should take more time to explain things.

I think it's adequate, however depending on the specialisation of the solicitor the

statement may need specific addendums.

It covers everything I would expect however I feel it would benefit from more on

communication with the client.

Would add question about solicitors’ work/life balance and how it affects their

performance.

They charge large amounts and must therefore be able act in the client’s best

interest - throughout.

A great deal of money is made from clients. They need to feel that all that should be

done, is done in a professional way. The client needs to feel confident that the

solicitor is acting in their best interest, giving sufficient time and information.

Sometimes feel they forget their clients are not legally trained & don't communicate in

understandable terms.

As the law is very complicated for the layman it is important that all clients,

regardless of nationality and native tongue, are given a clear explanation they can

understand.

I think most things are covered, but the early sections talk about standards that seem

to ignore the client.

You have "generalised" far too much without giving enough details regarding who will

monitor/check, how this will be done, etc. Where are the "independent" check details

- in other words, if the solicitors continue to monitor themselves then it will not be any

better than the present system!

No mention of financial competence.

Much of what the statement contains is what I would regard as common sense, such

as the points about communication. Where I got the impression it was less to the

point was, for example in the way it conflates the law and regulation. I think that

aspect of it should be improved.

6.7.2 Ease of understanding

Individual consumers were also asked to give a second overall rating. This time, of how

easy the Statement was to understand. Nearly a third (31%) of consumers felt the

Statement was ‘easy’ to understand, giving a rating of 10. However, almost a quarter (24%)

provided a score of 1 to 6 in terms of ease of understanding, including one in twenty (5%)

who claimed the Statement was ‘not at all easy’ to understand, giving the lowest rating of 1:


117

Figure 23: Consumers: Ease of understanding the Statement (%)

Q2. How easy did you find the Competence Statement to understand? Base: All respondents – 503

6.7.3 Omissions of the Statement

Individual consumers were also asked specifically if the Statement had omissions or other

needs for amendments. Few respondents gave additional information here, many saying

that by this point in the survey, they had fully expressed their views. However, where

responses were given, they tended to focus on two themes. The first one was the

importance of communications and the necessity for its clarity and avoidance and jargon:

Written communication is fundamental and it needs to be clear that this includes all

forms: emails, reports as well as letters, diary-keeping.

Thinking about the bit on clear communication to clients, it might be good to have

some sort of recognised standard associated with it e.g. the plain English crystal

mark or something like that.

The need for communication with the client: it is usually something very stressful for

which a client needs a solicitor and it can at times feel they are dragging their heels

or not communicating what the hold-up is

Not really. However, allowing sufficient time for each client’s appointment is very

important. The client needs to feel that all aspects of their needs are professionally

dealt with and explained fully, if necessary with brochures relevant to their case.

None, except a suggestion that "plain English" is used

Sometimes, solicitors and more often their support teams use legal jargon which,

although clear to them, passes over the client. Most clients are too afraid to

demonstrate ignorance to challenge this.

Only to state that clarity and understandability or plain English should be used where

ever possible

Plain English not legal speak

The second theme was that the Statement seemed to be obvious and that its practical

application was the issue:

It seems quite woolly to me - very general but not standards that I could hold

someone to.

Bit motherhood and apple pie. Very nice but somewhere we need to know what it

means in practice.

Content is too obvious, of course the solicitor must be competent and these

statements just say that.

31 15 16 12 13 11 2 Ease of

understanding

10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear) Don't know


118

6.8 Differences between subgroups of individual consumers

6.8.1 Introduction

The following sections consider how views on the elements of the Statement differed

according to the gender and age of individual consumers.


elements of the Statement by the relevant sub-groups of practitioners, and presents the

proportion rating each element as ‘critical’ to being a competent solicitor.





The average ratings are also shown at the bottom of the Table.

6.8.2 Gender

6.8.2.1 Use of solicitor services

As context, men were more likely to have recently used the services of a solicitor for

accident or injury claims (15%, compared to 8% among women) and in relation to offences

or criminal charges (6%, compared to 1% among women).

6.8.2.2 Importance of elements of the Statement and of the Statement overall

In terms of importance to being a competent solicitor, Table 47 shows that women had a

greater tendency overall to rate elements as critical to being a competent solicitor, with a

higher frequency of ‘critical’ ratings on every item and an average ‘critical’ rating of 57%,

compared to 48% for men.

While the aspects identified as most and least critical within each group were relatively

consistent, the following differences are evident:

Women identified ‘negotiating solutions to the client’s issues’ as one of the

elements most important to being a competent solicitor, while this element was

identified as one of the least important by men, along with ‘undertaking legal

research’;

Women included ‘developing, communicating and advising on options, strategies

and solutions relevant to the client’, and ‘planning, managing and progressing

legal matters and transactions’ among the elements of lesser importance;

Men identified ‘having a broad base of legal knowledge to draw on/having a

detailed understanding of their specific field(s) of work’ as one of the more

important elements.

Overall, men and women provided similar ratings with regard to the adequacy of the

Statement, but women were more likely than men to provide a low rating of 1 to 6 (on a 10-

point scale) in relation to how easy they found the Statement to understand (27% compared

to 19% of men).


119

Table 47: Proportion rating each aspect as critical to being a competent solicitor (all consumers by gender)19

Total Male Female



68% 63% 70%


68% 61% 74%

Avoiding working outside their area of knowledge and competence 37% 36% 38%

(a) Having a broad base of legal knowledge to draw on and (b) Having a detailed understanding of their specific field(s) of work

56% 50% 59%


39% 37% 40%



51% 44% 56%


40% 37% 41%


51% 46% 55%



53% 46% 58%





53% 45% 58%

Keeping accurate, complete and clear records 63% 57% 68%

Working in accordance with good business practice 52% 45% 57%




52% 45% 57%


38% 35% 40%


Bases (503) (208) (291)

19



120

6.8.3 Age


As context, individual consumers aged under 35 were more likely to have used the services

of a solicitor recently for accident or injury claims (18%, compared to 12% among 35-54s

and 5% among over 55s), for family matters (20%, compared to 12% among 35-54s and 8%

among over 55s), housing, and for landlord or tenant problems (10%, compared to 3%

among 35-54s and over 55s).

Those aged 35 to 54 were more likely to have used solicitors for conveyancing (36%) than

the other age groups.

The use of solicitors for will-writing increased with age; 32% among those aged over 55,

compared to 10% among 35-54s and 3% among those under 35.

6.8.3.2 Importance of elements of the Statement and of the Statement overall

Table 48 indicates that the tendency to rate elements as critical to being a competent

solicitor increases with age, with an average ‘critical’ rating of 40% among those aged under

35, rising to 56% of those aged 35 to 54, and to 62% among those aged 55 or over.

While the aspects identified as most and least critical within each age group were relatively

consistent, the following differences are evident:

Those aged 55 and over included ‘having a broad base of legal knowledge to

draw on/having a detailed understanding of their specific field(s) of work’ as one

of the more important elements. They also identified ‘undertaking legal research’

as one of the less important elements, along with ‘undertaking effective spoken

and written advocacy’, an element identified as more important for those aged 35

to 54.

Those aged under 35 included ‘negotiating solutions to the client’s issues’ as an

important element, and ‘planning, managing and progressing legal matters and

transactions’ as less important.

In terms of the overall adequacy of the Statement, those aged 55 and over were more likely

than younger consumers to rate it as totally adequate (37% compared to 21% of those aged

under 35 and 27% of those aged 35 to 54), and those aged under 35 were more likely to

give a rating of ‘1 to 6’ (13% compared to 5% of those aged 35 to 54 and 7% of those aged

55 or more).

This pattern was replicated in respect of ease of understanding of the Statement, with those

aged 55 or over more likely to give a rating of ‘10’ on this dimension (36% compared to 22%

of those aged under 35), and those aged under 35 more likely to give a ‘1 to 6’ rating in this

respect (33% compared to18% of those aged 55 and over).


121

Table 48: Proportion rating each aspect as critical to being a competent solicitor (all consumers by age)20

Total Under

35 35 to

54 55 and over



68% 52% 69% 77%


68% 59% 69% 74%


37% 22% 39% 47%


56% 42% 56% 66%


39% 24% 42% 47%



51% 38% 54% 57%


40% 26% 43% 48%


51% 36% 56% 60%



53% 44% 57% 56%



52% 36% 53% 63%



53% 40% 52% 62%

Keeping accurate, complete and clear records 63% 45% 63% 76%

Working in accordance with good business practice 52% 41% 55% 57%




52% 38% 50% 65%


38% 22% 42% 45%


Bases (503) (143) (147) (201)

20



122

7 Main Findings – Business consumers

7.1 Introduction

Respondents in the telephone survey of 204 business consumers were asked to rate each

specific element of the Statement in relation to how important the aspect was to being a

competent solicitor (on a scale of 1 to 10 where 1 was 'No importance' and 10 was 'Critical').

As with practitioners and individual consumers, business consumers were also asked

whether they thought each element had omissions and/or needed amendments and to add

any comments they wished to make. As with individuals, many of the comments made were

reflections of respondents’ experiences with solicitors which bore only tangentially in many

cases on the individual element under consideration at that particular point in the interview.

After responding about each of the elements in turn, respondents were asked to provide

their overall views on the Statement, specifically in terms of its adequacy and how easy it

was to understand. These questions were also asked on 1 to 10 scales. Business

respondents were again able to explain or comment on the ratings they had given at this

point.

7.2 Profile of business consumers

The business consumer sample of 204 respondents consisted of 60% male and 40% female

respondents. Over half (55%) were aged 35 to 54 years, 34% were aged 55 or over and just

6% were aged 34 or under. Less than one in twenty (4%) respondents classed themselves

as disabled. Nine in ten (90%) of the sample were White, while 7% were from a BME

background and the remaining 3% did not provide a response.

The majority (75%) worked for a private sector organisation, with the remainder working for a

charity or voluntary sector organisation (13%), a central government body (5%) or a local

government body (5%).

The main activity of the organisations is summarised in the following Figure below.

Main Findings – Business consumers

123

Figure 24: Business consumers: Main activity of organisation (%)

S3. What is the main activity at this organisation? (SIC 2007) Base: All respondents - 204

Almost one in three (28%) organisations employed 9 employees or fewer, 22% employed 10

to 49 employees, 21% employed 50 to 249, and 27% employed 250 or more. The majority of

organisations were based in the South (45%) or London (13%), while 19% were based in the

Midlands, 19% in the North and 5% in Wales.

In 95% of cases, the solicitor used was an external solicitor as opposed to an in-house

solicitor (5%). The most common solicitor services used most recently were in the areas of

‘employment’ (23%) and ‘business premises’ (22%).

17

15

15

12

7

6

4

4

4

3

3

3

1

1

1

Q Health

C Manufacturing

M Professional, scientific & technical

G Wholesale and retail; repair of motor vehicles

P Education

N Business administration and support services

A Agriculture, forestry & fishing

K Finance & insurance

L Property

F Construction

I Accommodation & food services

J Information & communication

B/D/E Mining, quarrying & utilities

H Transport & storage (inc. postal)

O Public administration and defence


124

Figure 25: Business consumers: Solicitor services ever/most recently used (%)

Q7. In which of these areas of law has your organisation ever used the services of a solicitor? Q8. And in which of these areas of law has your organisation used the services of a solicitor most recently? Base: All respondents - 204


judgement

In the area of ‘ethics, professionalism and judgement’, the aspects rated as most critical

were ‘acting in accordance with the law and with the regulatory requirements for solicitors’

and ‘maintaining sufficient competence and legal knowledge to practise effectively’ (both

were rated as ‘critical’ by 78%), followed by ‘having a broad base of legal knowledge to draw

on/having a detailed understanding of their specific field(s) of work’.

Other aspects were rated as less important, specifically ‘avoiding working outside their area

of knowledge and competence’ and ‘using understanding, critical thinking and analysis to

solve problems’, although almost half (49% and 48%, respectively) still rated these as

‘critical’:

23

22

7

7

5

5

4

3

2

2

1

1

14

3

67

73

51

30

41

32

30

26

38

25

19

19

25

0

Employment

Business premises

Ownership/structure

Debt

Regulation

Intellectual property

Work injury

Trading

Finance/insurance

Tax

Crime

Environmental

Other

Don't know

Most recently used Ever used


125

Figure 26: Business consumers: Importance of ethics, professionalism and judgement (%)

A1-5. How important is this aspect to being a competent solicitor? Base: All respondents – 204 * represents less than 0.5%


amendments or clarification, the proportion who felt that it did ranged from one in ten (11%)

in relation to ‘having a broad base of legal knowledge to draw on and having a detailed

understanding of their specific field(s) of work’ to one in six (16%) in relation to ‘acting in

accordance with the law and with the regulatory requirement for solicitors’.

Table 49: Business consumers: proportion feeling aspects of ‘ethics, professionalism and judgement’ have omissions and/or need amendments or clarifications


16%


12%


15%


11%


14%

Business consumers’ comments on these elements are exemplified in the following Table:

78

78

49

60

48

11

11

11

17

17

8

9

17

16

26

*

*

7

4

5

1

*

11

3

2

*

4

*

*

1

2

1. Acting in accordance with the law and with the regulatory requirements for solicitors


3. Avoiding working outside their area of knowledge and competence

4. (a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding


5. Using understanding, critical thinking and analysis to solve problems



126

Table 50: Business consumers’ comments on elements concerned with ethics, professionalism, and judgement


The profession is over-regulated; I’m surprised by the amount of correspondence they need to send to businesses. It's just a pointless exercise and a waste of time and money.

The item should specify acting under the current law, in case they are acting in accordance with laws that have since changed.

It needs to be publically known what the law is regarding solicitors.


The profession should make sure enough CPD points are available, solicitors should uphold best practice within common law, and should work within proper guidelines.

There should be a better understanding of the scope of solicitors’ work and the services they provide.


This item needs more clarity as to the question of whether solicitors are generalists or specialists. You do not want to go to multiple different solicitors, you want to go to someone who straight away will give you advice.

Solicitors should say what they don't know then find someone else to do it who is more competent.

Solicitors need to publish evidence of demonstrable experience.

I think that when the SRA conducts visits on solicitors, they need to ensure that they are acting in relevance to their experience.

I would expect someone else in a large legal firm to have the experience if the person you're dealing with doesn't.

Solicitors should make it clear from the start if they are unable to do the job.

Proper documentation should be kept of evidence of competency.

Solicitors should be required to make referrals if going outside of their area of expertise.

Solicitors should say at the outset if they do not have the knowledge so the client can seek better quality information.

It is possible to work outside your area of expertise if you can bring other experts to cover those areas.

There should be some way of ensuring that they stick to what they know.


Knowledge should be demonstrated in some form and there should be some form of accountability.

There should be required to make sure their knowledge is kept up-to-date.

Solicitors should publically signpost what they can do in terms of different areas of law.

Ideally, the client should be able to seek compensation from solicitors if they are not


127

providing accurate advice so that clients would be compensated for the solicitor's inadequacy.


Solicitors should demonstrate a better knowledge of what they're dealing with. They should explain the pros and cons to their clients, what the chances are with regards to the outcome, and what the consequences would be if it did not go the client’s way.

Solicitors should be encouraged to think outside the box and not solely rely on legal precedents. They should look at the situation in hand.

This item is a bit ambiguous.


In the area of ‘technical legal practice’, ‘drafting documents which are legally accurate and

effective’ was rated as the most important element, with 87% saying this was ‘critical’. Other

aspects seen as highly important were ‘developing, communicating and advising on options,

strategies and solutions relevant to the client’ and ‘undertaking effective spoken and written

advocacy’ (both were rated as ‘critical’ by 64% of respondents).

The element seen as less important in this area was ‘undertaking factual research’, rated as

‘critical’ by 40% of business consumers:

Figure 27: Business consumers: Importance of technical legal practice (%)

B1-7. How important is this aspect to being a competent solicitor? Base: All respondents – 204 * represents less than 0.5%

58

40

64

87

64

52

56

13

13

14

10

15

21

14

17

21

12

2

11

15

18

6

11

6

5

8

7

4

11

3

*

3

3

2

*

1

*

*

1

1

3

1

*

1

1

2

1. Undertaking legal research (e.g. looking up regulations, precedents and cases)

2. Undertaking factual research (e.g. using interviews, questioning and information search)

3. Developing, communicating and advising on options, strategies and solutions relevant to the

client


5. Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of

the client)

6. Negotiating solutions to the client’s issues




128


amendments or clarification, around one in ten in each instance felt that they did.

Table 51: Business consumers: proportion feeling aspects of ‘technical legal practice’ have omissions and/or need amendments or clarifications


12%


7%


11%

Drafting documents which are legally accurate and effective 9%


10%

Negotiating solutions to the client’s issues 9%


13%

Some business consumers’ comments on these elements of the draft Statement are set out

in the next Table:

Table 52: Business consumers’ comments on elements concerned with technical legal practice


This should be done to a high standard.

This is what you expect from a professional.

The item should reflect that this is only relevant where previous precedents are required.


The time factor is important in terms of how much is expected from a client or claimant to provide information.

I think internal checks by the SRA should ensure that solicitors have sufficient details of their client’s situation and their circumstances and knowing their background and intentions. They should give advice more relevant to situations.


Solicitors should show different options but should also clarify these and express them in laymen's terms.


Documents need to be perfect.

Documents should be drafted early and should be as accurate as possible.


129


There should be clarification of the different advocacy competencies required of solicitors and barristers.

Solicitors should take lessons in rhetoric, the science of speech, and they should speak more ‘trade’ language, not just use legal terminology.

This item is perhaps a more specialist one than the others.

Negotiating solutions to the client’s issues

Solicitors should learn to negotiate better.


There should be accountability and evidence of competency in this respect.

Solicitors should act with urgency.

This needs regulation so things are not dragged out.

There should be more of a business and practical approach to legal matters.

Solicitors take on too many cases.

Solicitors should have better understanding of the process and timescales.

7.5 Competence Statement Section C: Managing themselves and their

own work

Of all 18 elements of the Statement, business consumers rated ‘keeping accurate, complete

and clear records’ as one of the most important, with 84% of respondents saying this was

‘critical’. ‘Managing work activities to ensure that they are completed on time and to an

appropriate standard’ was also rated as important in almost all cases, with 73% rating it as

‘critical’:


130

Figure 28: Business consumers: Importance of managing themselves and their own work (%)

C1-3. How important is this aspect to being a competent solicitor? Base: All respondents – 204 * represents less than 0.5%


amendments or clarification, around one in seven (14%) felt this was the case in relation to

‘managing work activities to ensure that they are completed on time and to an appropriate

standard’, around one in ten felt this was the case in relation to ‘working in accordance with

good business practice’ (12%), and one in twenty in relation to ‘keeping accurate, complete

and clear records’ (6%):

73

84

57

14

6

17

10

5

15

2

3

3

1

*

4 1

1

2

1. Managing work activities to ensure that they are completed on time and to an appropriate

standard

2. Keeping accurate, complete and clear records

3. Working in accordance with good business practice



131

Table 53: Business consumers: proportion feeling aspects of ‘managing themselves and their own work’ have omissions and/or need amendments or clarifications


14%

Keeping accurate, complete and clear records 6%

Working in accordance with good business practice 12%

Some examples of business consumers’ comments on these items are set out in the

following Table:

Table 54: Business consumers’ comments on elements concerned with solicitors’ management of themselves and their work


Solicitors often need a good kick up the backside. If it’s a matter of urgency, deadlines must be met.

There should be financial penalties for the solicitor if they do not keep to the specified timescale.

The item should include a reference towards time and accuracy – placing more importance on accuracy than on speed.

Solicitors’ performance on this needs to be monitored.

The item could be amended to acknowledge changes to court dates, which are outside a solicitor's control.

There should be tighter timescales for completion and less padding of cases.

Keeping accurate, complete and clear records

The SRA needs to emphasise this particular issue with their members.

Clients don't see what records they keep so it’s impossible to know.


This is a very vague item: Whose business is in question? Why not ‘best’ business practise?

This is too broad and ambiguously worded.

‘Good business practice’: clarify whether that refers to the solicitor’s definition or the client's definition.

This should define what is meant by ‘good business practice’ and provide a short list of examples

Define good business practice.

Solicitors should bring their practice into line with that of other industries and stop setting themselves apart.


132


The importance of aspects within ‘working with other people’ varied among business

consumers, with ‘communicating clearly and effectively’ being rated in the top five most

important aspects overall, with 77% rating this as ‘critical’. Conversely, ‘establishing and

maintaining effective and professional relations with colleagues and other people’ was one of

the least important aspects of the Statement, with 45% rating this as ‘critical’:

Figure 29: Business consumers: Importance of working with other people (%)

D1-3. How important is this aspect to being a competent solicitor? Base: All respondents – 204 * represents less than 0.5%


amendments or clarification, around one in eight (13%) felt this was the case in relation to

‘communicating clearly and effectively, orally and in writing’, and one in twenty felt this was

the case in relation to ‘establishing and maintaining effective and professional relations with

clients’ (6%) and ‘establishing and maintaining effective and professional relations with

colleagues and other people’ (7%):

Table 55: Business consumers: proportion feeling aspects of ‘working with other people’ have omissions and/or need amendments or clarifications

Communicating clearly and effectively, orally and in writing 13%


6%


7%

77

59

45

16

16

17

6

15

20

1

6

7

3

7 2

*

2



3. Establishing and maintaining effective and professional relations with colleagues and other

people



133

Business respondents’ verbatim comments on these elements are exemplified in the next

Table:

Table 56: Business consumers’ comments on elements concerned with solicitors’ work with other people


Solicitors should simplify, cut down the number of words, and get quality and consistency across all areas.

There should be more training on this aspect.

Solicitors should make sure that they respond to emails and phone calls in a quick manner.

There should be more frequent and better communication with the client.

There should be less padding, a more direct approach, more plain English, and they should be more concise.

Documents need to be in plain English.

This is a common need for every solicitor. Clear and effective communication is really important. They should use easy-to-understand language for clients.

Solicitors should use layman's terms and refrain from using complex jargon.

Speed of communication needs to be improved and ease of communication also.


There should be more training on this item.

Solicitors should always honour their word in their dealings with clients.


As a client, it is essential how solicitors deal with colleagues. That is important to us. If it’s a scenario where there is a cross-section of specialists that we have to deal with, then it is essential to know that they will work together, for example in big corporate transactions it is crucial. If it is just conveyance it doesn't matter.

I do wonder why this aspect needs including at all.

How would a client know how well the solicitor communicates with their own colleagues and other people?

This item needs clarifying as to whether it refers to solicitors’ own colleagues or colleagues of the client or both.

This should not be such a broad statement. It should be made more specific as to what that covers.


134

7.7 Overview of business consumers’ ratings of the elements of the

Statement

The Figure overleaf provides a summary of the importance attributed to each element in

relation to being a competent solicitor (Figure 30).

The letters at the front of each element indicate which dimension of the Statement they

relate to, as indicated below:





Results in the Figure suggest that business consumers believe a basic set of legal

competences for solicitors are most important – draft accurate documents, keep good

records, know the relevant law, act legally themselves, communicate well, and keep on

schedule. More ‘technical’ matters – for example, undertaking research and working well

with colleagues – are less frequently seen as important.


135

Figure 30: Business consumers: Importance of all aspects (%)

How important is this aspect to being a competent solicitor? Base: All respondents – 204 * represents less than 0.5%

87

84

78

78

77

73

64

64

60

59

58

57

56

52

49

48

45

40

10

6

11

11

16

14

14

15

17

16

13

17

14

21

11

17

17

13

2

5

8

9

6

10

12

11

16

15

17

15

18

15

17

26

20

21

3

*

*

1

2

6

5

4

6

6

3

7

8

7

5

7

11

*

*

1

1

3

3

3

3

4

4

2

3

11

2

7

11

*

*

*

*

1

1

4

*

2

1

*

1

*

*

1

1

*

1

2

2

1

1

2

2

3


C2. Keeping accurate, complete and clear records

A1. Acting in accordance with the law and with the regulatory requirements for solicitors



C1. Managing work activities to ensure that they are completed on time and to an

appropriate standard B3. Developing, communicating and advising

on options, strategies and solutions relevant to the client

B5. Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of

the client) A4. (a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding



B1. Undertaking legal research (e.g. looking up regulations, precedents and cases)

C3. Working in accordance with good business practice


B6. Negotiating solutions to the client’s issues

A3. Avoiding working outside their area of knowledge and competence

A5. Using understanding, critical thinking and analysis to solve problems

D3. Establishing and maintaining effective and professional relations with colleagues and other

people

B1. Undertaking factual research (e.g. using interviews, questioning and information search)



136

7.8 Business consumers’ views on the Statement as a whole

7.8.1 Adequacy of the Statement

Business consumers were asked to give their views on the Statement as a whole. They

were first asked to rate the Statement for its adequacy as a description of what a competent

solicitor needs to be able to do. More than four in ten (43%) business consumers believed

the Statement was ‘totally adequate’ (rating of 10), with a further 47% rating it as 7 to 9:

Figure 31: Business consumers: Adequacy of the Statement (%)

Q1. How would you rate the adequacy of the Statement overall as a description of what a competent solicitor needs to be able to do? Base: All respondents - 204

Business consumers could, if they wished, also supply comments with amplified their views

of the Statement as a whole.

As with other groups, a number of comments were simply supportive of the Statement:

I think it’s good because it sounds like everything that’s important for solicitors is

covered.

It’s very wide ranging, very professional, and very demanding. It covers legal and

customer service aspects.

I think the qualities you have expressed are essential and integral features of the

manner of how a professional should operate.

It covers everything you’d expect from a solicitor.

Generally fits how they should be operating in such a profession.

Clear and concise.

No hesitation in recommending them to anyone. Very thoroughly organised.

It’s fundamental. I expect all those things from my advisors.

I consider they are adequate.

I think everything seems spot on, it’s what I would expect of a solicitor.

Because we have covered most of their statements, everything that a solicitor should

do, and also everything a solicitor should know.

Covered every aspect of what a solicitors does do. It’s simple straightforward to deal

with.

Captures what we require.

No real criticism.

43 23 19 5 5 3 1 Adequacy

10 (Totally adequate) 9 8 7 6 to 5 4 to 1 (Totally inadequate) Don't know


137

Because you have covered a broad scope of issues, there’s no ability for things to

slip through.

You have read out everything which is an essential aspect of the service that’s

required. Without these elements you would not get the professional service to carry

out the legal work. Regardless of what it entails, all of those things are needed to

provide a professional qualified service.

As with individual consumers, some business respondents simply emphasised attributes

which they expected of a competent solicitor:

I think if you employ a solicitor they should totally concentrate on the client.

My belief is that to be a good advocate you should be on top of all knowledge and be

evidence-based, especially in my business where the clients lack legal capacity.

Quite a good statement – fee transparency would be good and timeliness of

submitting fees – something regarding the management of clients' monies should be

included.

It covers the main points but doesn't mention speed of response and keeping clients

updated by modern methods of communication such as email, rather than sending a

letter when they don't need to.

Understanding financial natures and HR implications could be added.

I think when it comes to the law you need to have someone who is competent and

has good knowledge of the law and how they apply themselves to the nature of the

business they will be working for.

Business respondents also made a number of general observations on the Statement, not

necessarily complimentary ones:

It’s idealistic.

The statement is quite long.

They are basic statements and obvious, you would expect these things of anyone

working in a professional manner in any industry.

It's pretty much up there – but until you have an issue, you wouldn’t know if it covers

everything - you don’t know what you don’t know.

When you're dealing with such a cross section of individuals, it is sometimes hard to

pigeonhole everybody within a particular section or group and as individuals they are

subject to their own standards and idiosyncrasies.

There are a number of issues that I think still can be covered by this framework but

which have not been covered.

They are far too generic and far too leading with a capital ‘L’! I don’t think they dig

deep enough and it just seems to be very much a tick box exercise rather than

knowing what the reality is.


138

7.8.2 Ease of understanding

Business consumers were also asked to give a second overall rating, in this case of how

easy the Statement was to understand. The majority of respondents found the Statement

easy to understand, with 39% rating it 10, and a further 47% rating it as 7 to 9:

Figure 32: Business consumers: Ease of understanding the Statement (%)

Q2. How easy did you find the Competence Statement to understand? Base: All respondents - 204

7.9 Differences between sub-groups of business consumers

The following sections consider how views on the elements of the Statement differed

between groups of respondents positioned in businesses of different sizes and in different

sectors.


elements of the Statement by the relevant sub-groups of practitioners, and presents the

proportion rating each element as ‘critical’ to being a competent solicitor.





The average ratings are also shown at the bottom of the Table.

7.9.1 Business size


As context, businesses with fewer employees were more likely to have used the services of

a solicitor for matters relating to business premises (32% of micro businesses, 23% of small

businesses, compared to 16% of medium businesses and 15% of large businesses) and

debt (10% of micro businesses and 11% of small businesses, compared to 0% of medium

businesses and 7% of large businesses).

Conversely, businesses with more employees were more likely to have recently used a

solicitor for employment matters (30% of medium businesses and 27% of large businesses,

compared to 12% of micro businesses and 23% of small businesses).

Businesses with 10-49 employees were most likely to have used a solicitor for issues

relating to ownership structure (14%), while large business were most likely to have used a

solicitor for regulation (11%) compared to businesses with fewer employees.

39 15 25 7 6 6 2 Ease of

understanding

10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear) Don't know


139

7.9.1.2 Importance of elements of the Statement to being a competent solicitor and

of the Statement overall

Table 57 shows how responses on perceived importance of the elements of the Statement

varied by business size. The analysis shows a high degree of consistency in that businesses

of all sizes tended to rank the items similarly and in that there were few significant

differences between the size groups of businesses in the frequency with which they gave

‘critical’ ratings on individual items.

Overall ratings of the adequacy of the Statement and of the ease with which it can be

understood similarly did not differ by size of business:


140

Table 57: Proportion rating each aspect as critical to being a competent solicitor (all business consumers by size of organisation)21

Total

Micro (0-9)

Small (10-49)

Medium (50-249)

Large (250+)



78% 82% 73% 74% 82%


78% 80% 77% 79% 76%


49% 52% 45% 49% 47%


60% 58% 68% 63% 55%


48% 47% 50% 49% 44%



58% 58% 55% 60% 56%


40% 42% 50% 42% 29%


64% 62% 77% 60% 58%


87% 87% 84% 88% 87%


64% 62% 70% 67% 58%

Negotiating solutions to the client's issues 52% 63% 48% 58% 38%


56% 53% 52% 65% 55%



73% 67% 80% 79% 69%

Keeping accurate, complete and clear records 84% 85% 86% 84% 80%


57% 62% 50% 65% 51%

D. Working with other people. Communicating clearly and effectively, orally and in writing

77% 75% 82% 84% 69%


59% 57% 64% 65% 53%


45% 48% 36% 51% 44%

Average rating 63% 63% 64% 66% 58%

Bases (204) (60) (44) (43) (55)

21



141

7.9.2 Industry sector


As context, businesses classified22 as A-F and G-I were more likely to have recently used

the services of a solicitor for matters relating to business premises (33% and 34%,

respectively, compared to 14% for J-S) and debt (12% and 14%, respectively, compared to

3% for J-S). Businesses classified as J-S were more likely to have used a solicitor for

employment matters (29%, compared to 10% among A-F and 17% among G-I).

7.9.2.2 Importance of elements of the Statement to being a competent solicitor and

of the Statement overall

Table 58 shows how response on the perceived importance of the elements of the

Statement varies by the three broad sector groupings. As between size groups of

businesses, the pattern is mainly consistent with prioritisation of the elements of the

Statement being broadly shared and with few significant differences between the groups on

the ratings of particular elements.

Overall ratings of the adequacy of the Statement and of the ease with which it can be

understood similarly did not differ by sector of business.

22 Standard Industry Classification (SIC):

A-F: A Agriculture, forestry & fishing, B/D/E Mining, quarrying & utilities, C Manufacturing, F Construction

G-I: G Wholesale and retail; repair of motor vehicles, H Transport & storage (inc. postal), I Accommodation &

food services J-S: J Information & communication, K Finance & insurance, L Property, M Professional, scientific & technical, N

Business administration and support services, O Public administration and defence, P Education, Q Health, R Arts, entertainment, recreation and other services S Other service activities


142

Table 58: Proportion rating each aspect as critical to being a competent solicitor (all business consumers by sector)23

Total SIC:

A-F SIC: G-I

SIC: J-S



78% 76% 80% 79%


78% 71% 83% 80%


49% 41% 57% 50%


60% 57% 66% 60%


48% 45% 60% 45%



58% 61% 60% 55%


40% 43% 46% 37%


64% 67% 71% 60%



64% 63% 86% 57%



56% 55% 66% 53%



73% 71% 74% 73%

Keeping accurate, complete and clear records 84% 80% 89% 84%

Working in accordance with good business practice 57% 53% 66% 56%




59% 51% 66% 61%


45% 41% 51% 45%


Bases (204) (49) (35) (119)

23


Overview

143

8 Overview

8.1 Introduction

This chapter summarises key findings from the quantitative research and discusses some of

their implications.

8.2 Overall level of endorsement of the Statement

The extent to which the results of the surveys represent an endorsement of the draft

Competence Statement is a matter of judgement for the SRA. However, if ‘adequacy’ is

considered as achieving an overall rating of between 7 and 10 on a 10-point scale, the

proportions of practitioners, individual consumers, and business consumers giving ratings at

this level were 87%, 87%, and 90% respectively. An objective judgement might reasonably

be that these proportions are sufficient to propose that, broadly, the Statement is seen as

adequate by all three groups of participants involved in the conduct of legal matters.

The respective proportions giving 7 to 10 ratings as to how easy the Statement is to

understand were 79%, 74%, and 86%. This is slightly lower but still a high endorsement of

the statement

8.3 Variations between different groups of respondents

Given the relatively high proportions of respondents giving high or reasonably high ratings to

the importance of the Statement, there is, correspondingly, limited scope for different groups

of respondents to vary in the frequency with which they gave different ratings to the

importance of the Statement. However, there were variations (and non-variations) which are

summarised below:


144

Table 59: Variations between different groups of respondents

Group Variation

Practitioners: men and women

Women more frequently gave high ratings to all the ‘competent solicitor’ elements, to almost all the ‘personal practice’ elements, to the adequacy of the Statement overall, and on ease of understanding of the Statement.

Practitioners: different age groups

There were no significant variations between age groups.

Practitioners: ethnicity

Practitioners with BME backgrounds more frequently gave high ratings on the ‘competent solicitor’ and ‘personal practice’ elements and on the overall ‘ease of understanding’ measure. However, their overall judgement of the Statement’s adequacy was not different from that of white respondents.

Practitioners: type of employing organisations

‘Independent’ solicitors more frequently than in-house ones gave high ratings on the ‘competent solicitor’ and ‘personal practice’ elements and also more frequently saw the Statement as easy to understand. However, there were no differences between the two groups in their overall ratings of the Statement’s adequacy.

Practitioners: area of practice

There were no significant differences between practitioners specialising in different areas of law.

Individual consumers: men and women

Women more frequently gave higher ratings to the ‘competent solicitor’ elements. However, their overall ratings of the adequacy of the Statement did not differ from men and they were more likely than men (27% to 19%) to give a lower (1 to 6) rating on the ‘ease of understanding’ measure.

Individual consumers: age groups

Older respondents (35 and older) were more likely than younger ones to give high ratings to the ‘competent solicitor’ elements and to the overall adequacy of the Statement and were also more likely to give high ratings on the ‘ease of understanding’ measure.

Business consumers: size and sector groups

There were no significant differences on any of the measures between the groups.

Such variations as were observed may represent differences in the ‘fit’ between the different

groups and the Statement itself and/or may simply reflect underlying characteristics (of

personality and attitude) of the different groups which would have been reflected in findings

irrespective (within limits) of the precise nature of the Statement.

It is again a matter of judgement for the SRA as to whether the differences, usually a matter

of single figure percentages, are sufficiently significant to suggest that attempts should be

made to tailor the Statement in order to make it more ‘user friendly’ for groups which gave

somewhat lower ratings at various points. An external judgement might be that, in the light

of the mainly high ‘adequate’ ratings discussed above, these differences are relatively minor,

Overview

145

are perhaps inescapable, and that the Statement can reasonably be accepted as applicable

across the ‘industry’ and its customers.

8.4 Variation between practitioners and consumers

There is a second source of variation in the data. This concerns the way in which the three

different groups – practitioners, individual, and business consumers – prioritise the 18

elements of the Statement in respect of their importance to solicitor competence. These

priorities were set out separately in three earlier chapters of this report. However, they can

be compared in Figures 33 and 34 overleaf.

In each instance, the first column, for practitioners, shows practitioner rankings of the 18

elements from 1st to 18th places. The columns for individual and business consumers show

how these groups ranked the same items (in frequency of giving each of them a ‘critical’

rating). In Figure 33, the lines connecting the columns show how items ranked 1, 2, 3, and

so on for practitioners are in different ranking positions for the other two groups, and in

Figure 34 the same information is provided numerically (i.e. in terms of numerical rank

order). Four colours for the lines/text are used to discriminate the four main groups of

elements in the draft Statement.

The Figures show, for example, that ‘drafting documents which are legally accurate and

effective’ was positioned in 9th place by practitioners (in the sense that it had the ninth

highest proportion of ‘critical’ ratings) but was positioned 1st by individuals and business

consumers.

However, the main point of the Figures is not necessarily to reflect on individual variations

but to remark that the variations, more so between practitioners and the other two groups

than between individual and business consumers, are quite considerable. Again, it is a

judgement for the SRA as to whether this is simply a piece of information which reflects how

the different groups look at legal services and their provision or whether it has a meaning for

the design or presentation of the Statement:


146

Figure 33: Priorities given by three groups to different elements of the Statement in respect of their importance to being a competent solicitor

Practitioners Individuals Businesses





C1. Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, both in relation to their own work and work that they lead or supervise

A4. Drawing on both an awareness of a broad base of legal knowledge and sufficient detailed knowledge and understanding of their field(s) of work and context in order to practise effectively













Key: black lines = A, Ethics, professionalism and judgement; blue lines = B, Technical legal practice;

green lines = C, Managing self and own work; purple lines = D, working with other people

Overview

147

Figure 34: Priorities given by three groups to different elements of the Statement in respect of their importance to being a competent solicitor

Practitioners Individuals Businesses


1st 3rd 3rd


2nd 18th 15th


3rd 14th 7th


4th 10th 10th

C1. Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, both in relation to their own work and work that they lead or supervise

5th 9th 6th

A4. Drawing on both an awareness of a broad base of legal knowledge and sufficient detailed knowledge and understanding of their field(s) of work and context in order to practise effectively

6th 6th 9th


7th 2nd 4th


8th 4th 5th


9th 1st 1st


10th 16th 16th


11th 5th 2nd

B2. Undertaking factual research 12th 15th 18th

B6. Negotiating solutions to the client's issues 13th 7th 14th


14th 17th 17th


15th 12th 13th

B1. Undertaking legal research 16th 13th 11th

C3. Applying good business practice 17th 11th 12th


18th 8th 8th

Key: black text = A, Ethics, professionalism and judgement; blue text = B, Technical legal practice;

green text = C, Managing self and own work; purple text = D, working with other people


148

8.5 Adjustments to the Statement

As stated in 8.2, overall ratings of the adequacy of the Statement would appear to endorse it.

However, the fact that minorities within each group of respondents gave a lower rating of its

adequacy invites consideration of the reasons for lower ratings of the Statement as a whole

and for its constituent elements.

Many comments made by respondents which bear on the reasons given for lower ratings are

very detailed ones, sometimes, for example, concerning the use of single words or the

ordering of items within elements, which need to be individually assessed by the SRA and its

partners as to their validity.

8.6 Conclusion

Overall, the research described in this report:

Gives a significant level of ‘endorsement’ to a draft Competence Statement, in the

sense that substantial majorities of practitioners and of the two main consumer

groups give high ratings to the importance to solicitor competence of all elements

of the Statement and give high ratings to its overall adequacy.

Identifies two sources of variation in the research data, which the SRA and its

partners may wish to review for their implications as to any adjustment of the draft

Statement:

Variation between sub-groups of practitioners, of individual consumers,

and of business consumers.

Variation between practitioners, individual consumers, and business

consumers, in their prioritisation of the different elements of the

Statement.

Identifies strands of dissent as to the adequacy of the Statement amongst

practitioners and consumers, ranging from detailed observations on wording to

fundamental doubt as to whether the development of a valid and workable

Competence Statement for the profession is possible. The SRA may again wish

to review this dissent in order to assess its merits and its implications for

adjustment of the draft Statement.

Appendix 1 – Weighting procedure for the practitioner sample

149

9 Appendix 1 – Weighting procedure for the practitioner sample

In order to ensure that the results were representative of the population under investigation,

weighting was applied to account for business type and the number of qualified solicitors

employed in the organisation.

9.1 Weighting by business type

The majority (71%) of the practitioner sample comprised of those who work within a private

practice, with the remainder (29%) working as an in-house solicitor. Weighting was applied

in order to match the overall population. The figures are summarised in the Table below:

Table 60: Practitioners: Business type

Achieved sample

profile

(Pre weighting)

Overall population/ Weighted sample

profile

(Post weighting)

Private practice 71% 78%

Total Non private practice 29% 22%

In-house lawyer 16% 13%

Government office 2% 3%

Local authority 7% 4%

Other 3% 1%

TOTAL 100% 100%

9.2 Weighting by number of solicitors

Population statistics were provided which showed the number of qualified solicitors working

for each private practice in the UK. Population statistics were not available for in-house

solicitors, so no weighting was applied to this element of the sample beyond rim-weighting to

ensure it accounted for the appropriate proportion of the total sample (i.e. 22% rather than

the 29% in our sample).

From the private practice figures, we calculated what proportion worked for practices of

varying sizes and compared to how this fell out in the survey sample. A good spread was

achieved by size, which was broadly similar to the population statistics. Weighting was

applied on this basis, however the extent of the weighting was relatively minor.

These figures are summarised in the following Table:


150

Table 61: Practitioners: Number of Solicitors

Practice population

Qualified solicitors accounted for/

Weighted sample profile

Achieved sample profile (Private practice only,

pre weighting)

0 to 4 8452 76% 13909 14% 148 20%

5 to 10 1287 12% 12258 12% 112 15%

11 to 20 740 7% 10738 11% 100 13%

21 to 50 408 4% 12758 12% 105 14%

51+ 256 2% 52563 51% 294 39%

Unknown 14 0%

TOTAL 11157 100% 102226 100% 759 100%

Appendix: Statement of Terms

151

Appendix: Statement of Terms

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