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
Development of a competence statement for solicitors
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
Development of a competence statement for solicitors
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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
Development of a competence statement for solicitors
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
Table 30: Proportion rating each aspect as critical to being a competent solicitor (all
practitioners by age) ........................................................................................................... 88
Table 31: Proportion rating each aspect as critical to their own personal practice of law (all
practitioners by age) ........................................................................................................... 89
Table 32: Number of years qualified as a solicitor (all practitioners by ethnicity) ................. 91
Table 33: Proportion rating each aspect as critical to being a competent solicitor (all
practitioners by ethnicity) .................................................................................................... 92
Table 34: Proportion rating each aspect as critical to their own personal practice of law (all
practitioners by ethnicity) .................................................................................................... 93
Table 35: Proportion rating each aspect as critical to being a competent solicitor (all
practitioners by type of practice) ......................................................................................... 96
Development of a competence statement for solicitors
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Table 36: Proportion rating each aspect as critical to their own personal practice of law (all
practitioners by type of organisation) ................................................................................... 97
Table 37: Proportion rating each aspect as critical to being a competent solicitor (all
practitioners by area of law) ................................................................................................ 99
Table 38: Proportion rating each aspect as critical to their own personal practice of law (all
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
Table 47: Proportion rating each aspect as critical to being a competent solicitor (all
consumers by gender) ...................................................................................................... 119
Table 48: Proportion rating each aspect as critical to being a competent solicitor (all
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
Table 57: Proportion rating each aspect as critical to being a competent solicitor (all
business consumers by size of organisation) .................................................................... 140
Table 58: Proportion rating each aspect as critical to being a competent solicitor (all
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
Development of a competence statement for solicitors
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.
Development of a competence statement for solicitors
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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
%
A. Ethics, professionalism and judgement
1. Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
91 89 97
2. Maintaining sufficient competence and legal knowledge to practise effectively
92 90 98
3. Working within the limits of their knowledge, competence and available supervision
93 73 77
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
89 89 93
5. Applying understanding, critical thinking and analysis to solve problems
90 81 91
B. Technical legal practice
1. Undertaking legal research 81 84 88
2. Undertaking factual research 85 77 74
3. Developing, communicating and advising on options, strategies and solutions
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
7. Planning, managing and progressing legal matters and transactions
80 85 97
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
93 85 88
2. Keeping, using and maintaining accurate, complete and clear records
87 89 95
3. Applying good business practice 78 85 89
D. Working with other people
1. Communicating clearly and effectively, orally and in writing 91 91 99
2. Establishing and maintaining effective and professional relations with clients
92 87 90
3. Establishing and maintaining effective and professional relations with others
82 81 82
Development of a competence statement for solicitors
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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
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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
Development of a competence statement for solicitors
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.
Development of a competence statement for solicitors
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.
Development of a competence statement for solicitors
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.
Development of a competence statement for solicitors
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
Research method and sampling approach
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
Development of a competence statement for solicitors
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
Research method and sampling approach
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
Development of a competence statement for solicitors
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
Research method and sampling approach
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
Development of a competence statement for solicitors
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.
Research method and sampling approach
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.
Development of a competence statement for solicitors
28
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
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
Research method and sampling approach
29
outlined above. A ‘screen shot’ of a typical question layout in the online survey of
practitioners is shown below:
Development of a competence statement for solicitors
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.
Development of a competence statement for solicitors
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%):
Practitioners – overview of key findings
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)
Development of a competence statement for solicitors
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:
Practitioners – overview of key findings
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
Development of a competence statement for solicitors
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
B3. Developing, communicating and advising on options, strategies and solutions
D2. Establishing and maintaining effective and professional relations with clients
B4. Drafting documents which are legally accurate and effective
C1. Initiating, planning, prioritising and managing work activities and projects to ensure that they are completed on time and to an appropriate standard, …
A5. Applying understanding, critical thinking and analysis to solve problems
D1. Communicating clearly and effectively, orally and in writing
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 …
C2. Keeping, using and maintaining accurate, complete and clear records
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
A2. Maintaining sufficient competence and legal knowledge to practise effectively
D3. Establishing and maintaining effective and professional relations with others
B7. Planning, managing and progressing legal matters and transactions
B2. Undertaking factual research
B6. Negotiating solutions to the client's issues
C3. Applying good business practice
B1. Undertaking legal research
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
Practitioners – overview of key findings
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
A. Ethics, professionalism and judgement
6. Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
9.33 8.77
7. Maintaining sufficient competence and legal knowledge to practise effectively
9.20 9.07
8. Working within the limits of their knowledge, competence and available supervision
9.34 8.91
9. 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
9.17 9.05
10. Applying understanding, critical thinking and analysis to solve problems 9.15 9.18
B. Technical legal practice
8. Undertaking legal research 8.68 8.27
9. Undertaking factual research 8.87 8.68
10. Developing, communicating and advising on options, strategies and solutions
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
C. Managing self and own work
4. 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
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
D. Working with other people
4. Communicating clearly and effectively, orally and in writing 9.15 9.20
5. Establishing and maintaining effective and professional relations with clients
9.31 91.8
6. Establishing and maintaining effective and professional relations with others
8.79 8.89
Development of a competence statement for solicitors
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’.
Practitioners – overview of key findings
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
Development of a competence statement for solicitors
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)
Practitioners – overview of key findings
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.
Development of a competence statement for solicitors
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
Practitioners – overview of key findings
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)
Development of a competence statement for solicitors
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
A. Ethics, professionalism and judgement
11. Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
14
12. Maintaining sufficient competence and legal knowledge to practise effectively
10
13. Working within the limits of their knowledge, competence and available supervision
8
14. 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
8
15. Applying understanding, critical thinking and analysis to solve problems 5
B. Technical legal practice
15. Undertaking legal research 6
16. Undertaking factual research 5
17. Developing, communicating and advising on options, strategies and solutions
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
C. Managing self and own work
7. 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
6
8. Keeping, using and maintaining accurate, complete and clear records 6
9. Applying good business practice 7
D. Working with other people
7. Communicating clearly and effectively, orally and in writing 5
8. Establishing and maintaining effective and professional relations with clients
6
9. Establishing and maintaining effective and professional relations with others
4
Development of a competence statement for solicitors
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.
Practitioners – views on different elements of the Statement
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.
Development of a competence statement for solicitors
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
Mean rating for importance to being a competent solicitor 9.20
Mean rating for importance to own practice 9.07
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
56%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
2%
Percentage giving a ‘critical’ rating (10) for importance to own practice 51%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 3%
Percentage saying has omissions or needs amendment 10%
Description of comments
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.34
Mean rating for importance to own practice 8.91
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
64%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
2%
Percentage giving a ‘critical’ rating (10) for importance to own practice 52%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 2%
Percentage saying has omissions or needs amendment 8%
Development of a competence statement for solicitors
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Description of comments
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.17
Mean rating for importance to own practice 9.05
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
57%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
3%
Percentage giving a ‘critical’ rating (10) for importance to own practice 54%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 1%
Percentage saying has omissions or needs amendment 8%
Description of comments
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
Development of a competence statement for solicitors
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’).
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.15
Mean rating for importance to own practice 9.18
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
54%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
<0.5%
Percentage giving a ‘critical’ rating (10) for importance to own practice 56%
Percentage giving a ‘low’ rating (1-4) for importance to own practice <0.5%
Percentage saying has omissions or needs amendment 5%
Description of comments
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’).
Development of a competence statement for solicitors
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;
7. Planning, managing and progressing legal matters and transactions
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 8.68
Mean rating for importance to own practice 8.27
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
40%
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 35%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 4%
Percentage saying has omissions or needs amendment 6%
Description of comments
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.
Development of a competence statement for solicitors
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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
Mean rating for importance to being a competent solicitor 8.87
Mean rating for importance to own practice 8.68
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
45%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
<0.5%
Percentage giving a ‘critical’ rating (10) for importance to own practice 44%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 2%
Percentage saying has omissions or needs amendment 5%
Description of comments
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).
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.3
Mean rating for importance to own practice 9.27
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
61%
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 61%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 1%
Percentage saying has omissions or needs amendment 7%
Description of comments
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.
Development of a competence statement for solicitors
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.16
Mean rating for importance to own practice 9.17
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
54%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
3%
Percentage giving a ‘critical’ rating (10) for importance to own practice 57%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 3%
Percentage saying has omissions or needs amendment 8%
Description of comments
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.
Development of a competence statement for solicitors
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 8.39
Mean rating for importance to own practice 7.56
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
36%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor 2%
Percentage giving a ‘critical’ rating (10) for importance to own practice 33%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 14%
Percentage saying has omissions or needs amendment 7%
Description of comments
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
Development of a competence statement for solicitors
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 8.84
Mean rating for importance to own practice 8.58
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
44%
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 43%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 4%
Percentage saying has omissions or needs amendment 6%
Description of comments
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.
Development of a competence statement for solicitors
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
Mean rating for importance to being a competent solicitor 8.76
Mean rating for importance to own practice 8.75
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
42%
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 44%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 2%
Percentage saying has omissions or needs amendment 7%
Description of comments
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:
Practitioners – views on different elements of the Statement
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.
Development of a competence statement for solicitors
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.26
Mean rating for importance to own practice 9.21
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
58%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
<0.5%
Percentage giving a ‘critical’ rating (10) for importance to own practice 57%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 1%
Percentage saying has omissions or needs amendment 6%
Description of comments
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.
Development of a competence statement for solicitors
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.
Practitioners – views on different elements of the Statement
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
Mean rating for importance to being a competent solicitor 9.02
Mean rating for importance to own practice 8.98
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
53%
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 54%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 2%
Percentage saying has omissions or needs amendment 6%
Description of comments
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’.
Development of a competence statement for solicitors
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
Mean rating for importance to being a competent solicitor 8.60
Mean rating for importance to own practice 9.20
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
40%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
2%
Percentage giving a ‘critical’ rating (10) for importance to own practice 37%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 5%
Percentage saying has omissions or needs amendment 7%
Description of comments
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.
Practitioners – views on different elements of the Statement
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.
Development of a competence statement for solicitors
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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
Mean rating for importance to being a competent solicitor 9.15
Mean rating for importance to own practice 9.20
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
54%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
<0.5%
Percentage giving a ‘critical’ rating (10) for importance to own practice 56%
Percentage giving a ‘low’ rating (1-4) for importance to own practice <0.5%
Percentage saying has omissions or needs amendment 5%
Description of comments
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).
Practitioners – views on different elements of the Statement
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).
Development of a competence statement for solicitors
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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
Mean rating for importance to being a competent solicitor 9.31
Mean rating for importance to own practice 9.18
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
59%
Percentage giving a ‘low’ rating (1-4) for importance to being a competent solicitor
<0.5%
Percentage giving a ‘critical’ rating (10) for importance to own practice 58%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 1%
Percentage saying has omissions or needs amendment 6%
Description of comments
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.
Practitioners – views on different elements of the Statement
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.
Development of a competence statement for solicitors
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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
Mean rating for importance to being a competent solicitor 8.79
Mean rating for importance to own practice 8.89
Percentage giving a ‘critical’ rating (10) for importance to being a competent solicitor
43%
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 45%
Percentage giving a ‘low’ rating (1-4) for importance to own practice 1%
Percentage saying has omissions or needs amendment 4%
Description of comments
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.
Practitioners – views on different elements of the Statement
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%).
Development of a competence statement for solicitors
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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
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Practitioners – views on different elements of the Statement
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
Development of a competence statement for solicitors
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‘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
Development of a competence statement for solicitors
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%
Unweighted bases (1070) (545) (497)
NB. Shading indicates statistically significant differences at the 95% level of confidence
Practitioners – differences between sub-groups
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.
The average ratings are also shown at the bottom of each Table.
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).
Development of a competence statement for solicitors
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%
Unweighted bases (1070) (545) (497)
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.
Practitioners – differences between sub-groups
85
Table 29: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by gender)10
Total Male Female
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
53% 53% 54%
Maintaining sufficient competence and legal knowledge to practise effectively
51% 45% 58%
Working within the limits of their knowledge, competence and available supervision
52% 49% 57%
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
54% 50% 59%
Applying understanding, critical thinking and analysis to solve problems
56% 50% 60%
B. Technical legal practice.
Undertaking legal research 35% 33% 37%
Undertaking factual research 44% 39% 48%
Developing, communicating and advising on options, strategies and solutions
61% 56% 66%
Drafting documents which are legally accurate and effective 57% 55% 60%
Undertaking effective spoken and written advocacy 33% 33% 34%
Negotiating solutions to the client's issues 43% 42% 45%
Planning, managing and progressing legal matters and transactions 44% 41% 48%
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
57% 54% 60%
Keeping, using and maintaining accurate, complete and clear records
54% 52% 57%
Applying good business practice 37% 39% 35%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 56% 52% 61%
Establishing and maintaining effective and professional relations with clients
58% 54% 64%
Establishing and maintaining effective and professional relations with others
45% 42% 49%
Average rating 49% 47% 53%
Unweighted bases (1070) (545) (497)
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.
Development of a competence statement for solicitors
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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 (%)
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
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 (%)
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
5.3 Age
Comparative views are summarised in the Tables below which show the response to each of
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.
In each instance, green shading indicates the six elements rated as critical by the greatest
proportion, and red shading the six elements rated as critical by the smallest proportion
within each sub-group. Figures in bold signify statistically significant differences between
sub-groups at the 95% level of confidence.
The average ratings are also shown at the bottom of each Table.
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
Practitioners – differences between sub-groups
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.
Development of a competence statement for solicitors
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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
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
68% 64% 67% 76%
Maintaining sufficient competence and legal knowledge to practise effectively
56% 64% 56% 50%
Working within the limits of their knowledge, competence and available supervision
64% 61% 63% 69%
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% 62% 58% 53%
Applying understanding, critical thinking and analysis to solve problems
54% 57% 54% 54%
B. Technical legal practice.
Undertaking legal research 37% 43% 35% 37%
Undertaking factual research 44% 46% 42% 44%
Developing, communicating and advising on options, strategies and solutions
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%
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% 58% 57% 58%
Keeping, using and maintaining accurate, complete and clear records
53% 52% 55% 51%
Applying good business practice 40% 34% 41% 44%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 54% 54% 55% 52%
Establishing and maintaining effective and professional relations with clients
59% 65% 60% 55%
Establishing and maintaining effective and professional relations with others
43% 38% 44% 46%
Average rating 52% 52% 52% 51%
Unweighted bases (1070) (197) (564) (255)
11
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.
Practitioners – differences between sub-groups
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
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
53% 42% 52% 64%
Maintaining sufficient competence and legal knowledge to practise effectively
51% 56% 51% 48%
Working within the limits of their knowledge, competence and available supervision
52% 49% 53% 57%
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
54% 55% 56% 50%
Applying understanding, critical thinking and analysis to solve problems
56% 57% 54% 54%
B. Technical legal practice.
Undertaking legal research 35% 31% 37% 33%
Undertaking factual research 44% 41% 46% 41%
Developing, communicating and advising on options, strategies and solutions
61% 63% 61% 60%
Drafting documents which are legally accurate and effective 57% 58% 58% 55%
Undertaking effective spoken and written advocacy 33% 30% 37% 31%
Negotiating solutions to the client's issues 43% 44% 45% 38%
Planning, managing and progressing legal matters and transactions
44% 41% 47% 41%
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
57% 59% 57% 56%
Keeping, using and maintaining accurate, complete and clear records
54% 52% 58% 49%
Applying good business practice 37% 27% 38% 44%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 56% 57% 58% 55%
Establishing and maintaining effective and professional relations with clients
58% 62% 60% 54%
Establishing and maintaining effective and professional relations with others
45% 39% 47% 47%
Average rating 49% 48% 51% 49%
Unweighted bases (1070) (197) (564) (255)
12
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.
Development of a competence statement for solicitors
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 (%)
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
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 (%)
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
5.4 Ethnicity
5.4.1 Characteristics
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)
10 (Totally adequate) 9 8 7 6 to 5 4 to 1 (Totally inadequate) Not provided
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)
10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear) Not provided
Practitioners – differences between sub-groups
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%
Unweighted bases (1070) (851) (110)
NB. Shading indicates statistically significant differences at the 95% level of confidence
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.
5.4.2 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 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.
In each instance, green shading indicates the six elements rated as critical by the greatest
proportion, and red shading the six elements rated as critical by the smallest proportion
within each sub-group. Figures in bold signify statistically significant differences between
sub-groups at the 95% level of confidence.
The average ratings are also shown at the bottom of each Table.
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.
Development of a competence statement for solicitors
92
Table 33: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by ethnicity)13
Total White BME
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
68% 69% 68%
Maintaining sufficient competence and legal knowledge to practise effectively
56% 57% 58%
Working within the limits of their knowledge, competence and available supervision
64% 65% 62%
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% 57% 70%
Applying understanding, critical thinking and analysis to solve problems
54% 55% 60%
B. Technical legal practice.
Undertaking legal research 40% 40% 50%
Undertaking factual research 45% 46% 44%
Developing, communicating and advising on options, strategies and solutions
61% 63% 66%
Drafting documents which are legally accurate and effective 54% 55% 58%
Undertaking effective spoken and written advocacy 36% 36% 47%
Negotiating solutions to the client's issues 44% 45% 48%
Planning, managing and progressing legal matters and transactions 42% 43% 49%
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% 59% 63%
Keeping, using and maintaining accurate, complete and clear records
53% 53% 61%
Applying good business practice 40% 40% 43%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 54% 53% 66%
Establishing and maintaining effective and professional relations with clients
59% 60% 69%
Establishing and maintaining effective and professional relations with others
43% 43% 50%
Average rating 52% 52% 57%
Unweighted bases (1070) (851) (110)
13
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.
Practitioners – differences between sub-groups
93
Table 34: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by ethnicity)14
Total White BME
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
53% 53% 53%
Maintaining sufficient competence and legal knowledge to practise effectively
51% 51% 59%
Working within the limits of their knowledge, competence and available supervision
52% 53% 55%
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
54% 53% 64%
Applying understanding, critical thinking and analysis to solve problems
56% 55% 60%
B. Technical legal practice.
Undertaking legal research 35% 34% 49%
Undertaking factual research 44% 44% 47%
Developing, communicating and advising on options, strategies and solutions
61% 62% 64%
Drafting documents which are legally accurate and effective 57% 58% 62%
Undertaking effective spoken and written advocacy 33% 32% 49%
Negotiating solutions to the client's issues 43% 44% 51%
Planning, managing and progressing legal matters and transactions 44% 45% 51%
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
57% 59% 61%
Keeping, using and maintaining accurate, complete and clear records
54% 54% 60%
Applying good business practice 37% 37% 37%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 56% 56% 68%
Establishing and maintaining effective and professional relations with clients
58% 59% 71%
Establishing and maintaining effective and professional relations with others
45% 45% 52%
Average rating 49% 50% 56%
Unweighted bases (1070) (851) (110)
14
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.
Development of a competence statement for solicitors
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 (%)
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
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 (%)
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
5.5 Type of practice
5.5.1 Characteristics
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)
10 (Totally adequate) 9 8 7 6 to 5 4 to 1 (Totally inadequate) Not provided
26
30
20
22
22
16
11
14
12
8
7
9
2
1
White (851)
BME (110)
10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear) Not provided
Practitioners – differences between sub-groups
95
Consumer problems/rights (13% cf. 4%).
Half (49%) of in-house solicitors were based in London, compared to 30% of their
counterparts.
5.5.2 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 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.
The average ratings are also shown at the bottom of each Table.
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).
Development of a competence statement for solicitors
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
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
68% 71% 67%
Maintaining sufficient competence and legal knowledge to practise effectively
56% 60% 55%
Working within the limits of their knowledge, competence and available supervision
64% 58% 65%
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% 59% 57%
Applying understanding, critical thinking and analysis to solve problems
54% 58% 54%
B. Technical legal practice.
Undertaking legal research 40% 34% 41%
Undertaking factual research 45% 44% 45%
Developing, communicating and advising on options, strategies and solutions
61% 60% 61%
Drafting documents which are legally accurate and effective 54% 51% 55%
Undertaking effective spoken and written advocacy 36% 33% 37%
Negotiating solutions to the client's issues 44% 42% 45%
Planning, managing and progressing legal matters and transactions 42% 36% 43%
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% 58%
Keeping, using and maintaining accurate, complete and clear records
53% 44% 54%
Applying good business practice 40% 32% 41%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 54% 57% 53%
Establishing and maintaining effective and professional relations with clients
59% 52% 60%
Establishing and maintaining effective and professional relations with others
43% 43% 43%
Average rating 52% 49% 52%
Unweighted bases (1070) (174) (860)
15
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.
Practitioners – differences between sub-groups
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
A. Ethics, professionalism and judgement.
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
53% 49% 53%
Maintaining sufficient competence and legal knowledge to practise effectively
51% 46% 52%
Working within the limits of their knowledge, competence and available supervision
52% 45% 53%
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
54% 53% 54%
Applying understanding, critical thinking and analysis to solve problems
56% 58% 54%
B. Technical legal practice.
Undertaking legal research 35% 24% 36%
Undertaking factual research 44% 39% 44%
Developing, communicating and advising on options, strategies and solutions
61% 51% 63%
Drafting documents which are legally accurate and effective 57% 51% 58%
Undertaking effective spoken and written advocacy 33% 24% 35%
Negotiating solutions to the client's issues 43% 43% 43%
Planning, managing and progressing legal matters and transactions 44% 43% 45%
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
57% 50% 58%
Keeping, using and maintaining accurate, complete and clear records
54% 48% 55%
Applying good business practice 37% 20% 40%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 56% 57% 56%
Establishing and maintaining effective and professional relations with clients
58% 45% 60%
Establishing and maintaining effective and professional relations with others
45% 41% 46%
Average rating 49% 44% 50%
Unweighted bases (1070) (174) (860)
16
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.
Development of a competence statement for solicitors
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 (%)
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
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 (%)
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
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)
10 (Totally adequate) 9 8 7 6 to 5 4 to 1 (Totally inadequate) Not provided
30
25
21
19
24
22
9
11
9
12
5
8
2
2
In-house (174)
Private practice (860)
10 (Totally clear) 9 8 7 6 to 5 4 to 1 (Extremely unclear) Not provided
Practitioners – differences between sub-groups
Table 37: Proportion rating each aspect as critical to being a competent solicitor (all practitioners by area of law)17
To
tal
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Dis
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Pro
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Res
ide
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Imm
igra
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Pe
ns
ion
s/
Ins/t
ax
/
Fin
an
cia
l/ (
no
t
pe
rs.)
Reg
ula
tio
n
A. Ethics, professionalism and judgment
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
68% 71% 65% 72% 73% 68% 71% 71% 71% 70% 69% 77% 75% 71% 66%
Maintaining sufficient competence and legal knowledge to practise effectively
56% 56% 58% 56% 67% 52% 58% 56% 50% 57% 50% 50% 51% 59% 54%
Working within the limits of their knowledge, competence and available supervision
64% 62% 64% 68% 75% 63% 64% 70% 61% 62% 63% 69% 55% 68% 54%
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% 57% 61% 59% 69% 55% 59% 64% 64% 54% 55% 59% 71% 48% 59%
Applying understanding, critical thinking and analysis to solve problems
54% 56% 60% 54% 58% 54% 51% 57% 52% 46% 48% 53% 51% 56% 56%
B. Technical legal practice
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%
Developing, communicating and advising on options, strategies and solutions
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
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.
Development of a competence statement for solicitors
To
tal
Bu
sin
ess
an
d
co
mm
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ial a
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irs
Dis
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mm
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ial
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ns
um
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Cri
me
Em
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ym
en
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Fa
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Pe
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na
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ba
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,
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Pe
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na
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jury
,
ac
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t, m
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ne
g.
Pro
ba
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ls &
tru
sts
Res
ide
nti
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nv
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Imm
igra
tio
n
Pe
ns
ion
s/
Ins/t
ax
/
Fin
an
cia
l/ (
no
t
pe
rs.)
Reg
ula
tio
n
Negotiating solutions to the client's issues 44% 49% 46% 44% 59% 31% 43% 50% 42% 39% 42% 43% 35% 51% 27%
Planning, managing and progressing legal matters and transactions
42% 43% 40% 45% 45% 33% 38% 45% 34% 40% 45% 52% 46% 40% 36%
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% 59% 59% 62% 63% 50% 61% 55% 54% 60% 56% 61% 57% 64% 55%
Keeping, using and maintaining accurate, complete and clear records
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%
D. Working with other people
Communicating clearly and effectively, orally and in writing
54% 53% 55% 56% 63% 53% 56% 58% 45% 52% 59% 60% 53% 57% 49%
Establishing and maintaining effective and professional relations with clients
59% 56% 57% 59% 72% 61% 59% 69% 58% 62% 59% 65% 58% 60% 49%
Establishing and maintaining effective and professional relations with others
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)
Practitioners – differences between sub-groups
Table 38: Proportion rating each aspect as critical to their own personal practice of law (all practitioners by area of law)18
To
tal
Bu
sin
ess
an
d
co
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Dis
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jury
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Pro
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Res
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Imm
igra
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n
Pe
ns
ion
s/
Ins/t
ax
/
Fin
an
cia
l/ (
no
t
pe
rs.)
Reg
ula
tio
n
A. Ethics, professionalism and judgment
Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
53% 52% 52% 56% 55% 59% 60% 62% 55% 55% 58% 63% 65% 54% 59%
Maintaining sufficient competence and legal knowledge to practise effectively
51% 49% 53% 50% 60% 52% 55% 54% 50% 48% 51% 50% 55% 50% 53%
Working within the limits of their knowledge, competence and available supervision
52% 48% 54% 55% 55% 55% 52% 60% 45% 55% 56% 62% 46% 49% 47%
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
54% 54% 56% 56% 62% 51% 55% 57% 56% 49% 52% 55% 59% 46% 53%
Applying understanding, critical thinking and analysis to solve problems
56% 60% 64% 53% 63% 60% 60% 55% 50% 47% 45% 48% 43% 58% 65%
B. Technical legal practice
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%
Developing, communicating and advising on options, strategies and solutions
61% 61% 64% 56% 70% 55% 65% 60% 57% 57% 53% 54% 58% 60% 51%
Drafting documents which are legally accurate and effective
57% 62% 53% 61% 66% 45% 54% 57% 47% 51% 61% 62% 55% 61% 50%
18
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.
Development of a competence statement for solicitors
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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%
Planning, managing and progressing legal matters and transactions
44% 45% 43% 43% 49% 33% 40% 43% 36% 45% 44% 47% 42% 53% 46%
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
57% 57% 61% 57% 63% 49% 61% 56% 58% 65% 55% 58% 55% 64% 55%
Keeping, using and maintaining accurate, complete and clear records
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%
D. Working with other people
Communicating clearly and effectively, orally and in writing
56% 56% 54% 54% 61% 58% 57% 57% 48% 54% 60% 57% 55% 62% 53%
Establishing and maintaining effective and professional relations with clients
58% 53% 59% 56% 73% 62% 60% 66% 63% 60% 62% 62% 58% 59% 54%
Establishing and maintaining effective and professional relations with others
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.
6.2 Competence Statement Section A: Ethics, professionalism and
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):
Development of a competence statement for solicitors
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%
Maintaining sufficient competence and legal knowledge to practise effectively
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
2. Maintaining sufficient competence and legal knowledge to practise effectively
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
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Main Findings – Individual consumers
105
Table 40: Individual consumer comments on elements concerned with ethics, professionalism and judgement
Acting in accordance with the law and with the regulatory requirements for solicitors
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.
Maintaining sufficient competence and legal knowledge to practise effectively
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.
Avoiding working outside their area of knowledge and competence
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.
Development of a competence statement for solicitors
106
(a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding of their specific field(s) of work
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.
Using understanding, critical thinking and analysis to solve problems
The statement is a little vague
6.3 Competence Statement Section B: Technical legal practice
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
When asked if they thought these aspects had any omissions and/or needed any
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
4. Drafting documents which are legally accurate and effective
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
7. Planning, managing and progressing legal matters and transactions
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Main Findings – Individual consumers
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%
Planning, managing and progressing legal matters and transactions
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
Undertaking legal research (e.g. looking up regulations, precedents and cases)
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?
Undertaking factual research (e.g. using interviews, questioning and information search)
I don't see how this significantly differs from the previous question. Perhaps all research could be combined in one statement.
Drafting documents which are legally accurate and effective
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
Development of a competence statement for solicitors
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).
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
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.
Planning, managing and progressing legal matters and transactions
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:
Main Findings – Individual consumers
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
When asked if they thought these aspects had any omissions and/or needed any
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
Managing work activities to ensure that they are completed on time and to an appropriate standard
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
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Development of a competence statement for solicitors
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?
6.5 Competence Statement Section D: Working with other people
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:
Main Findings – Individual 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
When asked if they thought these aspects had any omissions and/or needed any
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%
Establishing and maintaining effective and professional relations with clients
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
Communicating clearly and effectively, orally and in writing
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
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 colleagues and other
people
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Development of a competence statement for solicitors
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:
A. Ethics, professionalism and judgement
B. Technical legal practice
C. Managing self and own work
D. Working with other people
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.
Main Findings – Individual consumers
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
B4. Drafting documents which are legally accurate and effective
A2. Maintaining sufficient competence and legal knowledge to practise effectively
A1. Acting in accordance with the law and with the regulatory requirements for solicitors
D1. Communicating clearly and effectively, orally and in writing
C2. Keeping accurate, complete and clear records
A4. (a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding
of their specific field(s) of work
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
D2. Establishing and maintaining effective and professional relations with clients
C3. Working in accordance with good business practice
B7. Planning, managing and progressing legal matters and transactions
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
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Development of a competence statement for solicitors
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
Main Findings – Individual consumers
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.
Development of a competence statement for solicitors
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:
Main Findings – Individual consumers
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
Development of a competence statement for solicitors
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.
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, and presents the
proportion rating each element as ‘critical’ to being a competent solicitor.
In each instance, green shading indicates the six elements rated as critical by the greatest
proportion, and red shading the six elements rated as critical by the smallest proportion
within each sub-group. Figures in bold signify statistically significant differences between
sub-groups at the 95% level of confidence.
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).
Main Findings – Individual consumers
119
Table 47: Proportion rating each aspect as critical to being a competent solicitor (all consumers by gender)19
Total Male Female
A. Ethics, professionalism and judgement.
Acting in accordance with the law and with the regulatory requirements for solicitors
68% 63% 70%
Maintaining sufficient competence and legal knowledge to practise effectively
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%
Using understanding, critical thinking and analysis to solve problems
39% 37% 40%
B. Technical legal practice.
Undertaking legal research (e.g. looking up regulations, precedents and cases)
51% 44% 56%
Undertaking factual research (e.g. using interviews, questioning and information search)
40% 37% 41%
Developing, communicating and advising on options, strategies and solutions relevant to the client
51% 46% 55%
Drafting documents which are legally accurate and effective 72% 67% 76%
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
53% 46% 58%
Negotiating solutions to the client's issues 54% 44% 61%
Planning, managing and progressing legal matters and transactions 52% 50% 53%
C. Managing themselves and their own work.
Managing work activities to ensure that they are completed on time and to an appropriate standard
53% 45% 58%
Keeping accurate, complete and clear records 63% 57% 68%
Working in accordance with good business practice 52% 45% 57%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 66% 59% 72%
Establishing and maintaining effective and professional relations with clients
52% 45% 57%
Establishing and maintaining effective and professional relations with colleagues and other people
38% 35% 40%
Average rating 54% 48% 57%
Bases (503) (208) (291)
19
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.
Development of a competence statement for solicitors
120
6.8.3 Age
6.8.3.1 Use of solicitor services
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).
Main Findings – Individual consumers
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
A. Ethics, professionalism and judgement.
Acting in accordance with the law and with the regulatory requirements for solicitors
68% 52% 69% 77%
Maintaining sufficient competence and legal knowledge to practise effectively
68% 59% 69% 74%
Avoiding working outside their area of knowledge and competence
37% 22% 39% 47%
(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% 42% 56% 66%
Using understanding, critical thinking and analysis to solve problems
39% 24% 42% 47%
B. Technical legal practice.
Undertaking legal research (e.g. looking up regulations, precedents and cases)
51% 38% 54% 57%
Undertaking factual research (e.g. using interviews, questioning and information search)
40% 26% 43% 48%
Developing, communicating and advising on options, strategies and solutions relevant to the client
51% 36% 56% 60%
Drafting documents which are legally accurate and effective 72% 52% 76% 83%
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
53% 44% 57% 56%
Negotiating solutions to the client's issues 54% 45% 56% 58%
Planning, managing and progressing legal matters and transactions
52% 36% 53% 63%
C. Managing themselves and their own work.
Managing work activities to ensure that they are completed on time and to an appropriate standard
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%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 66% 50% 69% 76%
Establishing and maintaining effective and professional relations with clients
52% 38% 50% 65%
Establishing and maintaining effective and professional relations with colleagues and other people
38% 22% 42% 45%
Average rating 54% 40% 56% 62%
Bases (503) (143) (147) (201)
20
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.
Development of a competence statement for solicitors
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
Development of a competence statement for solicitors
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
7.3 Competence Statement Section A: Ethics, professionalism and
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
Main Findings – Business consumers
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%
When asked if they thought these aspects had any omissions and/or needed any
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
Acting in accordance with the law and with the regulatory requirements for solicitors
16%
Maintaining sufficient competence and legal knowledge to practise effectively
12%
Avoiding working outside their area of knowledge and competence
15%
(a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding of their specific field(s) of work
11%
Using understanding, critical thinking and analysis to solve problems
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
2. Maintaining sufficient competence and legal knowledge to practise effectively
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
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Development of a competence statement for solicitors
126
Table 50: Business consumers’ comments on elements concerned with ethics, professionalism, and judgement
Acting in accordance with the law and with the regulatory requirements for solicitors
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.
Maintaining sufficient competence and legal knowledge to practise effectively
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.
Avoiding working outside their area of knowledge and competence
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.
(a) Having a broad base of legal knowledge to draw on (b) Having a detailed understanding of their specific field(s) of work
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
Main Findings – Business consumers
127
providing accurate advice so that clients would be compensated for the solicitor's inadequacy.
Using understanding, critical thinking and analysis to solve problems
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.
7.4 Competence Statement Section B: Technical legal practice
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
4. Drafting documents which are legally accurate and effective
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
7. Planning, managing and progressing legal matters and transactions
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Development of a competence statement for solicitors
128
When asked if they thought these aspects had any omissions and/or needed any
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
Undertaking legal research (e.g. looking up regulations, precedents and cases)
12%
Undertaking factual research (e.g. using interviews, questioning and information search)
7%
Developing, communicating and advising on options, strategies and solutions relevant to the client
11%
Drafting documents which are legally accurate and effective 9%
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
10%
Negotiating solutions to the client’s issues 9%
Planning, managing and progressing legal matters and transactions
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
Undertaking legal research (e.g. looking up regulations, precedents and cases)
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.
Undertaking factual research (e.g. using interviews, questioning and information search)
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.
Developing, communicating and advising on options, strategies and solutions relevant to the client
Solicitors should show different options but should also clarify these and express them in laymen's terms.
Drafting documents which are legally accurate and effective
Documents need to be perfect.
Documents should be drafted early and should be as accurate as possible.
Main Findings – Business consumers
129
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
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.
Planning, managing and progressing legal matters and transactions
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’:
Development of a competence statement for solicitors
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%
When asked if they thought these aspects had any omissions and/or needed any
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
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Main Findings – Business consumers
131
Table 53: Business 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 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
Managing work activities to ensure that they are completed on time and to an appropriate standard
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.
Working in accordance with good business practice
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.
Development of a competence statement for solicitors
132
7.6 Competence Statement Section D: Working with other people
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%
When asked if they thought these aspects had any omissions and/or needed any
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%
Establishing and maintaining effective and professional relations with clients
6%
Establishing and maintaining effective and professional relations with colleagues and other people
7%
77
59
45
16
16
17
6
15
20
1
6
7
3
7 2
*
2
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 colleagues and other
people
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Main Findings – Business consumers
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
Communicating clearly and effectively, orally and in writing
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.
Establishing and maintaining effective and professional relations with clients
There should be more training on this item.
Solicitors should always honour their word in their dealings with clients.
Establishing and maintaining effective and professional relations with colleagues and other people
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.
Development of a competence statement for solicitors
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:
A. Ethics, professionalism and judgement
B. Technical legal practice
C. Managing self and own work
D. Working with other people
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.
Main Findings – Business consumers
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
B4. Drafting documents which are legally accurate and effective
C2. Keeping accurate, complete and clear records
A1. Acting in accordance with the law and with the regulatory requirements for solicitors
A2. Maintaining sufficient competence and legal knowledge to practise effectively
D1. Communicating clearly and effectively, orally and in writing
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
of their specific field(s) of work
D2. Establishing and maintaining effective and professional relations with clients
B1. Undertaking legal research (e.g. looking up regulations, precedents and cases)
C3. Working in accordance with good business practice
B7. Planning, managing and progressing legal matters and transactions
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)
10 (Critical) 9 8 7 6 to 5 4 to 1 (No importance) Don't know/Not provided
Development of a competence statement for solicitors
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
Main Findings – Business consumers
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.
Development of a competence statement for solicitors
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.
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, and presents the
proportion rating each element as ‘critical’ to being a competent solicitor.
In each instance, green shading indicates the six elements rated as critical by the greatest
proportion, and red shading the six elements rated as critical by the smallest proportion
within each sub-group. Figures in bold signify statistically significant differences between
sub-groups at the 95% level of confidence.
The average ratings are also shown at the bottom of the Table.
7.9.1 Business size
7.9.1.1 Use of solicitor services
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
Main Findings – Business consumers
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:
Development of a competence statement for solicitors
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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+)
A. Ethics, professionalism and judgement.
Acting in accordance with the law and with the regulatory requirements for solicitors
78% 82% 73% 74% 82%
Maintaining sufficient competence and legal knowledge to practise effectively
78% 80% 77% 79% 76%
Avoiding working outside their area of knowledge and competence
49% 52% 45% 49% 47%
(a) Having a broad base of legal knowledge to draw on and (b) Having a detailed understanding of their specific field(s) of work
60% 58% 68% 63% 55%
Using understanding, critical thinking and analysis to solve problems
48% 47% 50% 49% 44%
B. Technical legal practice.
Undertaking legal research (e.g. looking up regulations, precedents and cases)
58% 58% 55% 60% 56%
Undertaking factual research (e.g. using interviews, questioning and information search)
40% 42% 50% 42% 29%
Developing, communicating and advising on options, strategies and solutions relevant to the client
64% 62% 77% 60% 58%
Drafting documents which are legally accurate and effective
87% 87% 84% 88% 87%
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
64% 62% 70% 67% 58%
Negotiating solutions to the client's issues 52% 63% 48% 58% 38%
Planning, managing and progressing legal matters and transactions
56% 53% 52% 65% 55%
C. Managing themselves and their own work.
Managing work activities to ensure that they are completed on time and to an appropriate standard
73% 67% 80% 79% 69%
Keeping accurate, complete and clear records 84% 85% 86% 84% 80%
Working in accordance with good business practice
57% 62% 50% 65% 51%
D. Working with other people. Communicating clearly and effectively, orally and in writing
77% 75% 82% 84% 69%
Establishing and maintaining effective and professional relations with clients
59% 57% 64% 65% 53%
Establishing and maintaining effective and professional relations with colleagues and other people
45% 48% 36% 51% 44%
Average rating 63% 63% 64% 66% 58%
Bases (204) (60) (44) (43) (55)
21
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.
Main Findings – Business consumers
141
7.9.2 Industry sector
7.9.2.1 Use of solicitor services
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
Development of a competence statement for solicitors
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
A. Ethics, professionalism and judgement.
Acting in accordance with the law and with the regulatory requirements for solicitors
78% 76% 80% 79%
Maintaining sufficient competence and legal knowledge to practise effectively
78% 71% 83% 80%
Avoiding working outside their area of knowledge and competence
49% 41% 57% 50%
(a) Having a broad base of legal knowledge to draw on and (b) Having a detailed understanding of their specific field(s) of work
60% 57% 66% 60%
Using understanding, critical thinking and analysis to solve problems
48% 45% 60% 45%
B. Technical legal practice.
Undertaking legal research (e.g. looking up regulations, precedents and cases)
58% 61% 60% 55%
Undertaking factual research (e.g. using interviews, questioning and information search)
40% 43% 46% 37%
Developing, communicating and advising on options, strategies and solutions relevant to the client
64% 67% 71% 60%
Drafting documents which are legally accurate and effective 87% 86% 89% 87%
Undertaking effective spoken and written advocacy (e.g. arguing a position on behalf of the client)
64% 63% 86% 57%
Negotiating solutions to the client's issues 52% 51% 71% 46%
Planning, managing and progressing legal matters and transactions
56% 55% 66% 53%
C. Managing themselves and their own work.
Managing work activities to ensure that they are completed on time and to an appropriate standard
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%
D. Working with other people.
Communicating clearly and effectively, orally and in writing 77% 71% 77% 79%
Establishing and maintaining effective and professional relations with clients
59% 51% 66% 61%
Establishing and maintaining effective and professional relations with colleagues and other people
45% 41% 51% 45%
Average rating 63% 60% 70% 62%
Bases (204) (49) (35) (119)
23
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.
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:
Development of a competence statement for solicitors
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:
Development of a competence statement for solicitors
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
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 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
A2. Maintaining sufficient competence and legal knowledge to practise effectively
D1. Communicating clearly and effectively, orally and in writing
B4. Drafting documents which are legally accurate and effective
A5. Applying understanding, critical thinking and analysis to solve problems
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
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
A1. Acting in accordance with legal and regulatory requirements and the SRA Codes of Conduct
1st 3rd 3rd
A3. Working within the limits of their knowledge, competence and available supervision
2nd 18th 15th
B3. Developing, communicating and advising on options, strategies and solutions
3rd 14th 7th
D2. Establishing and maintaining effective and professional relations with clients
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
A2. Maintaining sufficient competence and legal knowledge to practise effectively
7th 2nd 4th
D1. Communicating clearly and effectively, orally and in writing
8th 4th 5th
B4. Drafting documents which are legally accurate and effective
9th 1st 1st
A5. Applying understanding, critical thinking and analysis to solve problems
10th 16th 16th
C2. Keeping, using and maintaining accurate, complete and clear records
11th 5th 2nd
B2. Undertaking factual research 12th 15th 18th
B6. Negotiating solutions to the client's issues 13th 7th 14th
D3. Establishing and maintaining effective and professional relations with others
14th 17th 17th
B7. Planning, managing and progressing legal matters and transactions
15th 12th 13th
B1. Undertaking legal research 16th 13th 11th
C3. Applying good business practice 17th 11th 12th
B5. Undertaking effective spoken and written advocacy
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
Development of a competence statement for solicitors
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:
Development of a competence statement for solicitors
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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